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Status: You are viewing the version of the handbook as on 2005-06-30.

SUP 17.1 Application


SUP 17.1.1RRP
  1. (1)

    This chapter applies to every firm which is:

    1. (a)

      a securities and futures firm; or

    2. (b)

      a personal investment firm; or

    3. (c)

      an investment firm (including a credit institution which is an investment firm) not within (a) or (b) excluding a firm to whom the ISD does not apply under Article 2(2) of the ISD.

  2. (2)

    This chapter does not apply to:

    1. (a)

      an incoming EEA firm in relation to its passported activities; or

    2. (b)

      an oil market participant in relation to its oil market activities.


SUP 17.1.2GRP

This chapter applies to a firm in SUP 17.1.1 that enters into reportable transactions (whether on its own account or on behalf of others).


SUP 17.1.3GRP

This chapter applies with respect to:

  1. (1)

    activities carried on from an establishment maintained by the firm (or its appointed representative) in the United Kingdom; or

  2. (2)

    passported activities of an ISD investment firm (including a credit institution which is an ISD investment firm) carried on from a branch in another EEA State.

SUP 17.1.4RRP

ECO 1.1.6 R has the effect that this chapter does not apply to an incoming ECA provider acting as such.