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MIFIDPRU Sch 6 List of Part 9C rules


1This schedule contains a list of Part 9C rules (as defined in section 143F(1) of the Act) for the purposes of section 143F(2) of the Act.

  1. (1)

    1Except as specified in (2), each of the following is a Part 9C rule:

    1. (a)

      every rule in MIFIDPRU; and

    2. (b)

      every rule in SYSC 19G (MIFIDPRU Remuneration Code).

  2. (2)

    The following provisions are not Part 9C rules:

    1. (a)

      MIFIDPRU 4.4.1R(3);

    2. (b)

      MIFIDPRU 4.4.3R(2)(c);

    3. (c)

      MIFIDPRU 4.4.4R(2)(c); and

    4. (d)

      MIFIDPRU 4.4.6R.