Related provisions for CASS 7.10.25

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DTR 5.4.2RRP
(1) The parent undertaking of an investment firm authorised by the FCA or the PRA under the United Kingdom provisions which implemented6MiFID shall not be required to aggregate its holdings with the holdings which such investment firm manages on a client-by-client basis within the meaning of Article 2(7) of the MiFID Org Regulation6, provided that:5(a) the investment firm is authorised to provide such portfolio management;(b) it may only exercise the voting rights attached to
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
DISP 2.8.10GRP
713Where a complaint meets the requirements of DISP 2.8.9R(2)(d), those parts of the complaint that relate to the grounds of rejection of the claim are not subject to the restriction in DISP 2.8.9R(1) on an Ombudsman considering the complaint.