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GEN 6.1 Payment of financial penalties
As Published: 2003
… Great Britain , even if the establishment from which it is carried on is not located in the UK (see PERG 2.4A …MIFIDPRU 4.10 K-COH requirement
As Published: 2001
…is “extended” definition of reception and transmission. This is further described in the guidance in PERG 13.3 …COBS 4.1 Application
As Published: 2007
…r optional exemption business 9 . Further guidance on what amounts to MiFID business may be found in PERG 13 …SUP 6.2 Introduction
As Published: 2005
… FCA or the PRA . A firm's Part 4A permission 8 specifies all or some of the following elements (see PERG 2 Annex 2 …SYSC 27.3 Territorial scope
As Published: 2018
…the territorial restriction relating to regulated claims management activities . (2) As explained in PERG 2.4A …FPCOB 1.2 General application: who? what? where?
As Published: 2022
… provides, a funeral in the United Kingdom ( article 59(2) of the Regulated Activities Order and see PERG 2.4.2AG …GEN 7.1 Application
As Published: 2015
… Great Britain , even if the establishment from which it is carried on is not located in the UK (see PERG 2.4A …TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
…e fact that for an activity to be a regulated activity it must be carried on by way of business (see PERG 4.3 …COBS 4.10 Approving and confirming compliance of financial promotions
As Published: 2015
…hat unauthorised person is responsible for the overall contents of the financial promotion (see also PERG 8.6.1G …GEN 4.1 Application
As Published: 2003
… Great Britain , even if the establishment from which it is carried on is not located in the UK (see PERG 2.4A …BENCH 2.1 Parts of the Handbook applicable to regulated benchmark administrators and benchmark contributors
As Published: 2013
…pplies. Regulatory Guides The Enforcement Guide ( EG ) This applies. The Perimeter Guidance Manual ( …PROF 4.1 Disclosure rules
As Published: 2004
…ited Kingdom ', exempt professional firms are referred to section 418 of the Act and the guidance in PERG 2.4 …SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
…ific kinds of activity) may apply 12 in respect of agreeing to undertake the specified activity (see PERG 2.7.21G …COBS 19.10 Drawdown, investment pathways and cash warnings
…way investment to all retail clients who select the same investment pathway option. Example F(33) in PERG 8 Annex 1 …MIFIDPRU 4.7 K-AUM requirement
As Published: 2001
… the subject of the generic advice in its measurement of AUM . Firms should refer to the guidance in PERG 13.3 …PROD 1.3 Application of PROD 3
As Published: 2017
…D 1.3.9 G 01/01/2021 [deleted] 2 PROD 1.3.10 G 01/01/2021 [deleted] 2 MiFID PROD 1.3.11 G 01/01/2021 PERG 13 …COCON 1.1 Application
As Published: 2015
…the territorial restriction relating to regulated claims management activities . (4) As explained in PERG 2.4A …CREDS 10.1 Application and purpose
As Published: 2011
…k ( CONC ) CONC contains rules that apply to firms carrying on credit-related regulated activities . PERG 2.7.19IG …Non-legal changes document 2009
As Published: 2009
…f Schedules 4 throughout the Handbook 30.9.09 Page 5 of 7 Page 6 FSA UNRESTRICTED Handbook reference PERG 9.10.4G …Readers Guide
As Published: 2017
…ide: A firm’s guide to countering financial crime risks) • FCTR (Financial Crime Thematic Reviews) • PERG (Perimeter Guidance manual) – covering circumstances when authorisation is required or exempt perso…