Home FCA Handbook GEN GEN 1 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. See www.fca.org.uk]

You are viewing GEN 1.1 Application as of . GEN 1.1 Application was last updated on 08/10/2023.

GEN 1.1 Application

08/10/2023R
  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.

  2. (2)

    [deleted]

  3. (3)

    GEN 1.2.2AR(1) also applies to a registered person communicating a financial promotion relating to one or more qualifying cryptoassets (in reliance on the exemption in article 73ZA of the Financial Promotion Order).

  4. (4)

    For the purpose of (3), reference in GEN 1.2.2AR(1) to a firm include reference to a registered person.