exempt CAD firm
- (1) (except in SYSC and IPRU(INV)) a firm as defined in article 4(1)(2)(c) of the UK CRR137 that is authorised to provide only one or more of119 the following investment services:
- (a) investment advice;
Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.