Fundamental Rules Restrictions
Application provision
3.1 The changes to this rule are effective from 23:00 on 31/12/2020.
[Deleted.]
3.1
31/12/2020
The changes to this rule are effective from 23:00 on 31/12/2020.
[Deleted.]
3.2
31/12/2020
The changes to this rule are effective from 23:00 on 31/12/2020.
[Deleted.]
3.3
19/06/2014
The Fundamental Rules apply with respect to the carrying on of:
- (1) regulated activities;
- (2) activities that constitute dealing in investments as principal, disregarding the exclusion in Article 15 of the Regulated Activities Order (Absence of holding out etc); and
- (3) ancillary activities in relation to PRA-regulated activities.
3.4
19/06/2014
Fundamental Rules 3, 4, 5, 6, 8 and (in so far as it relates to disclosing to the PRA) 7 (and this chapter) also:
- (1) apply with respect to the carrying on of unregulated activities (for Fundamental Rules 5, 6 and 8 this is only in a prudential context); and
- (2) take into account any activity of other members of a group of which the firm is a member.
3.5
19/06/2014
The Fundamental Rules apply with respect to activities wherever they are carried on.
3.6
19/06/2014
Where Fundamental Rule 7 refers to regulators, this means, in addition to the PRA, other regulators with recognised jurisdiction in relation to regulated activities, whether in the UK or abroad.