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You are viewing the version of the document as on 2023-12-07.

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.

GEN 1.1.1RRP
  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)


  3. (3)

    6GEN 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)

    6For the purpose of (3), reference in GEN 1.2.2AR(1) to a firm include reference to a registered person.

GEN 1.1.2GRP