1
Application and Definitions
1.1
Unless stated otherwise, this Part applies to every firm.
- 02/04/2015
1.2
In this Part, the following definitions shall apply:
has the meaning given in the FCA Handbook for the purposes of the FCA’s rule in GEN 4.4.1(1)(a)(i).
has the meaning given in the FCA Handbook for the purposes of the FCA’s rules in GEN 4.4.1R(1)(a)(ii) and GEN 4.5.1R(1).
equivalent business of a third country investment firm
the business of a third country investment firm carried on from an establishment in the UK that would be MiFID business if that firm were a MiFID investment firm.
means a financial penalty that the PRA has imposed, or may impose, under FSMA. It does not include a financial penalty imposed by any other body.
means the part of the FCA Handbook in High Level Standards which has the title General Provisions.
- (1) if the policyholder is an individual, the address given by the policyholder as his residence if it reasonably appears to be a residential address and there is no evidence to the contrary; or
- (2) if the policyholder is not an individual or a group of individuals, the State in which the policyholder has its place of establishment, or, if it has more than one, its relevant place of establishment.
has the meaning given in the FCA Handbook.
has the meaning given in the FCA Handbook.
MiFID or equivalent third country business
MiFID business or the equivalent business of a third country investment firm.
non-investment insurance contract
has the meaning given in the FCA Handbook.
has the meaning given in Article 4(1)(21) of MiFID II.
means references to the EEA State in which a risk is situated in accordance with paragraphs 6(3) and 6(4) of Schedule 12 to FSMA.
means a firm that has its registered office (or, if it has no registered office, its head office) in the UK.
- 03/01/2018