Related provisions for IPRU-INV 2.1.3
41 - 53 of 53 items.
1Subject to the exemptions in SYSC 10A.1.4R, this chapter applies to a firm:(1) that is a:(a) MiFID investment firm3; or(b) full-scope UK AIFM; or(c) small authorised UK AIFM or residual CIS operator; or(d) [deleted]3(e) UCITS management company; or(f) MiFID optional exemption firm, performing activities covered by the exemption; or(g) [deleted]3(h) third country investment firm; or(i) that carries on activities referred to in the general application rule related to:(i) commodity
7(-2) 13This section applies to:(a) a limited scope SMCR firm other than:14(i) a firm in SUP 10C Annex 1 7.10R (Table: Limited scope SMCR firms to which no controlled functions apply); and14(ii) a limited scope SMCR benchmark firm; and14(b) an authorised professional firm that is a core SMCR firm.
(-1) 13The application of this section is further limited by the rest of this rule.(1) 13This section applies to an authorised professional firm as follows:
(a) it only applies in respect
(1) When explaining the implications of a change, a firm should explain any changes to the benefits and significant or unusual exclusions arising from the change.(2) Firms will need to consider whether mid-term changes are compatible with the original policy, in particular whether it reserves the right to vary premiums, charges or other terms. Firms also need to ensure that any terms which reserve the right to make variations are not themselves unfair under the Unfair Terms Regulations
A firm must make at least the following information easily, directly and permanently accessible to the recipients of the information society services it provides:(1) its name;(2) the geographic address at which it is established;(3) the details of the firm, including its e-mail address, which allow it to be contacted rapidly and communicated with in a direct and effective manner;(4) an appropriate statutory status disclosure statement (GEN 4 Annex 1 R), together with a statement
(1) This chapter does not apply to an authorised professional firm: (a) whose main business is the practice of its profession; and(b) whose regulated activities covered by this chapter are incidental to its main business.(2) A firm's main business is the practice of its profession if the proportion of income it derives from professional fees is, during its annual accounting period, at least 50% of the firm's total income (a temporary variation of not more than 5% may be disregarded
An authorised
professional firm regulated by The Law Society (of England and
Wales), The Law Society of Scotland or The Law Society of Northern Ireland that, with respect to its regulated activities, is subject to 7the rules of its designated professional
body as specified in CASS 5.1.4 R, in force on 14 January
2005, must comply with those
rules7 and if it does so, it will be deemed
to comply with CASS
5.2 to CASS 5.6.7
Under section 107(2) of the Act, the application to the court may be made by the transferor or the transferee or both. As soon as reasonably practical, the intended applicant should choose their nominee for independent expert in the light of any criteria advised by the appropriate regulator. The intended applicant(s) should then advise the appropriate regulator of their choice, unless the appropriate regulator8 wishes them to defer nomination or to make its own nomination. The
Financial promotions made only to or directed only at certain types of person who are sophisticated enough to understand the risks involved are exempt. These are:(1) authorised persons;(2) exempt persons (where the financial promotion relates to a controlled activity which is a regulated activity for which the person is exempt);(3) governments and local authorities; and(4) persons whose ordinary business involves carrying on a controlled activity of the kind to which the financial
(1) An authorised professional firm regulated by the Law Society (of England and Wales), the Law Society of Scotland or the Law Society of Northern Ireland that, with respect to its regulated activities, is subject to the following rules of its designated professional body, must comply with those rules and, where relevant paragraph (3), and if it does so, it will be deemed to comply with the client money rules.(2) The relevant rules are: (a) if the firm is regulated by the Law