Related provisions for SUP App 3.6.1

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SYSC 13.1.4GRP
2SYSC 13 does not apply to an incoming ECA provider acting as such.
MAR 6.1.4RRP
2GEN 2.2.22AR applies to ensure that a third country investment firm should not be treated in a more favourable way than an EEA firm.
IFPRU 11.4.1RRP
This section applies to: (1) an IFPRU 730k firm that is not subject to supervision on a consolidated basis;(2) a firm that is the UK parent undertaking of an RRD group; and1(3) a qualifying parent undertaking that is the UK parent undertaking of an RRD group.1(4) [deleted]1
LR 2.1.3GRP
Under the Act, the FCA may also refuse an application for admission if it considers that:(1) admission of the securities would be detrimental to investors' interests; or(2) for securities already listed in a third country3, the issuer has failed to comply with any obligations under that listing.
MCOB 7A.4.1RRP
(1) A firm must warn any consumer with a foreign currency loan, on a regular basis, where the value of either: (a) the total amount payable by the consumer which remains outstanding; or (b) the regular instalments;varies by more than 20% from what it would be if the exchange rate between the currency of the MCD regulated mortgage contract and the currency of the EEA State, applicable at the time of the conclusion of the MCD regulated mortgage contract, were applied.(2) The warning
REC 6.1.1GRP
The Act prohibits any person from carrying on, or purporting to carry on, regulated activities in the United Kingdom unless that person is an authorised person or an exempt person. If an overseas investment exchange wishes to undertake regulated activities in the United Kingdom, it will need to:2(1) obtain a Part 4A permission2 from the FCA2; or422(2) [deleted]4(3) [deleted]4113331(4) obtain exempt person status by being declared by the FCA2 to be an ROIE.222
FEES 5.9.3GRP
[deleted]3838
DISP 1.9.1RRP
A firm, 6a payment service provider or an e-money issuer,5 must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:3245(1) at least five years where the complaint relates to4collective portfolio management services for a UCITS scheme or a scheme which, immediately before IP completion day7,6 or an EEA UCITS scheme; and32(2) three years for all other complaints;3from the date the complaint was received.3Note:4 article
MCOB 6A.5.1RRP
If a firm makes an offer to a consumer with a view to entering into or varying an MCD regulated mortgage contract which is a distance contract, it must provide the consumer with the following information with the offer document:(1) [deleted]1(2) any contractual clause on law applicable to the MCD regulated mortgage contract or a competent court, or both;(3) the language in which the contract is supplied and in which the firm will communicate during the course of the MCD regulated
EG 19.21.3RP
[deleted]32
TC App 2.1.1RRP

1UK domestic firm

[deleted]6

Overseas firm6

MiFID business and equivalent third country business

TC applies in respect of employees who carry on activities from an establishment maintained by the firm (or its appointed representative) in the United Kingdom6

44

6

TC applies in respect of employees who carry on activities from an establishment maintained by the firm (or its appointed representative) in the United Kingdom

Insurance distribution activities5

TC applies in respect of employees who carry on activities from an establishment maintained by the firm (or its appointed representative) in the United Kingdom6

6

TC does not apply

Mortgage activities and reversion activities numbers 20, 20A, 21, 21A, 21B, 22 and 23 in TC App 1.1.1R; and

MCD credit agreement activities numbers 23A to 23E in TC App 1.1.1R3

TC applies if the customer is resident in the United Kingdom at the time the activity3 is carried on6

6

3

Same as for UK domestic firm

Any other activity in Appendix 1

TC applies in respect of employees who carry on these activities from an establishment maintained by the firm (or its appointed representative) in the United Kingdom

and

TC also applies in respect of employees who carry on activities with or for a client in the United Kingdom

36

2

TC applies in respect of its employees who carry on activities from an establishment maintained by the firm (or its appointed representative) in the United Kingdom
PERG 8.8.3GRP
[deleted]2111
MAR 7A.1.3GRP
GEN 2.2.22AR applies to ensure that a third country investment firm should not be treated in a more favourable way than an EEA firm.