Related provisions for TC 4.1.1

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DISP 1.1A.7RRP

The table below sets out how DISP 1.1A applies to MiFID complaints relating to:

  1. (1)

    the activities of a MiFID investment firm carried on from an establishment in the United Kingdom; and2

  2. (2)

    the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client.2

  3. (3)

    [deleted]2

  4. (4)

    [deleted]2

Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms2

(1) Provision

(2) Provision applies to the MiFID business of a firm carried on from an establishment in the UK?

(3) Provision applies to the equivalent third country business of a third country investment firm where the complaint is received from a retail client or an elective professional client?

2

2

1.1A.10UK2

Yes

Yes

2

2

1.1A.11R

Yes

Yes

2

2

1.1A.12UK2

Yes

Yes

2

2

1.1A.13UK2

Yes

Yes

2

2

1.1A.14G

Yes

Yes

2

2

1.1A.15G

Yes

Yes

2

2

1.1A.16UK2

Yes

Yes

2

2

1.1A.17UK2

Yes

Yes

2

2

1.1A.18UK2

Yes

Yes

2

2

1.1A.19G

Yes

Yes

2

2

1.1A.20R

Yes

Yes

2

2

1.1A.21G

Yes

Yes

2

2

1.1A.22R

Yes

Yes

2

2

1.1A.23R

Yes

Yes

2

2

1.1A.24UK2

Yes

Yes

2

2

1.1A.25UK2

Yes

Yes

2

2

1.1A.26R

Yes

Yes

2

2

1.1A.27G

Yes

Yes

2

2

1.1A.28R

Yes

Yes

2

2

1.1A.29UK2

Yes

Yes

2

2

1.1A.30UK2

Yes

Yes

2

2

1.1A.31R

Yes

Yes

2

2

1.1A.32G

Yes

Yes

2

2

1.1A.33G

Yes

Yes

2

2

1.1A.34G

Yes

Yes

2

2

1.1A.35R

Yes

Yes

2

2

1.1A.36R

Yes

Yes

2

2

1.1A.37UK2

Yes

Yes

2

2

1.1A.38UK2

Yes

Yes

2

2

1.1A.39R

Yes

Yes

2

2

1.1A.40R

Yes

Yes

2

2

1.1A.41G

Yes

Yes

2

2

1.1A.42R

No

No

2

2

Notes

(1) [deleted]2

(2) This table should be read in conjunction with the rules and guidance in DISP 1.1A.1R to DISP 1.1A.6R.

CASS 7.10.34RRP

Subject to CASS 7.10.35 R only the client money rules listed in the table below apply to a trustee firm in connection with money that the firm receives, or holds for or on behalf of a client in the course of or in connection with its designated investment business which is not MiFID business.

Reference

Rule

CASS 7.10.1 R to CASS 7.10.6 G, and CASS 7.10.16 R to CASS 7.10.27 R

Application

CASS 7.10.33 R to CASS 7.10.40 G

Trustee firms

CASS 7.10.41 G

General purpose

CASS 7.13.3 R to CASS 7.13.4 G

Depositing client money

CASS 7.13.8 R to CASS 7.13.11 G

Selection, appointment and review of third parties

CASS 7.13.12 R to CASS 7.13.19 G

Client bank accounts

CASS 7.13.20 R to CASS 7.13.25 R

Diversification of client money

CASS 7.13.26 R to CASS 7.13.29 G

Qualifying money market funds

CASS 7.15.5 R (3), CASS 7.15.7 R and CASS 7.15.12 R to CASS 7.15.34 G

Reconciliation of client money balances

CASS 7.16

The standard methods of internal client money reconciliation

CASS 7.17.2 R to CASS 7.17.4 G

Requirement
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or to 9SYSC 288 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 34437