GEN 1.1 Application

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

For a UCITS qualifier, this chapter applies only with respect to the communication and approval of financial promotions to whichCOB 3 (Financial promotion) applies and to the maintenance of facilities to which COLL 9.4 (Facilities in the United Kingdom) and CIS 17.5 (Facilities in the United Kingdom) apply.2