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SUP 8.1 Application and purpose

SUP 8.1.1R

[deleted]7

SUP 8.1.1-AR

7This chapter applies to every:

  1. (1)

    firm or person who is subject to FCA rules that wishes to apply for, consent to, or has been given a modification of or waiver of the FCA's rules;

  2. (2)

    person, as respects a particular AUT, ACS6 or ICVC, who wishes to apply for, consent to, or has been given a modification of or waiver of the rules in COLL.

SUP 8.1.1AG

This chapter is relevant to an applicant for a Part 4A permission7, as if that applicant were a firm. Where the chapter refers to appropriate7supervisory contact, the applicant should read this as being the usual supervisory7contact at7 the appropriate regulator7. Further, this chapter is relevant to a person who is subject to rules made by the appropriate regulator7 and where the chapter refers to a firm, this includes that person5.1

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SUP 8.1.2G

A recognised body should see REC 3.3 for information on waivers of rules in REC under section 294 of the Act.

SUP 8.1.3G

This chapter is not relevant to the functions of the FCA7 acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing).

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Purpose

SUP 8.1.4G

This chapter explains how the regime for the waiver4 of rules works.

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