TC App 3.1 Circumstances in which TC does not apply1

1Type of firm/activity

Application

Incoming EEA firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU2 instrument to the firm's Home State regulator

Incoming Treaty firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU2 instrument to the firm's Home State regulator

UCITS qualifier

This sourcebook only applies where it is relevant to the manner in which a firm communicates or approves a financial promotion

Authorised professional firm

TC does not apply with respect to its non-mainstream regulated activities (see PROF 5.2)

Incoming ECA provider

TC does not apply to an incoming ECA provider acting as such.