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GEN 1.1 Application

[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation covering various topics relating to automated trading and direct electronic access.

4See www.fca.org.uk4]
GEN 1.1.1R
  1. (1)

    This chapter applies to every firm. GEN 1.3 (Emergency) also applies to an unauthorised person to whom a rule in the Handbook applies.1

  2. (2)

    For a UCITS qualifier, this chapter applies only with respect to the communication and approval of financial promotions to whichCOBS 4 (Communicating with clients, including financial promotion)3 applies and to the maintenance of facilities to which COLL 9.4 (Facilities in the United Kingdom) applies3.2

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GEN 1.1.2G

GEN 1.1.1 R (2) reflects section 266 of the Act (Disapplication of rules).