Content Options

Content Options

View Options


You are viewing the version of the document as on 2024-02-27.

MIFIDPRU TP 9 IFPRU waivers: transitional

Application

19.1

R

MIFIDPRU TP 9 applies to a non-SNI MIFIDPRU investment firm.

19.2

R

MIFIDPRU TP 9 applies where, immediately before 1 January 2022, a waiver given in relation to a rule listed in column A of the table in MIFIDPRU TP 9.5R has effect.

Duration of transition

19.3

R

This section applies to each waiver in MIFIDPRU TP 9.2R, until the direction given in respect of that waiver ceases to have effect on its terms, or is revoked, whichever is the earlier.

Transitional

19.4

R

Each waiver given in relation to a rule listed in column A of the table in MIFIDPRU TP 9.5R is treated as a waiver given to the firm in relation to the rule listed in the same row in column B of the table.

Table

19.5

R

Table of FCA rules

Column A

Column B

SYSC 4.3A.8R

MIFIDPRU 7.3.5R

SYSC 7.1.18R

MIFIDPRU 7.3.1R

SYSC 19A.3.12R

MIFIDPRU 7.3.3R