Related provisions for GENPRU 2.2.263
21 - 31 of 31 items.
Article 53(1)3 does not apply to advice given on any of the following:(1) deposit or other bank or building society accounts (but note the exceptions and points in PERG 8.25.3G)4;(2) interests under the trusts of an occupational pension scheme (but rights under an occupational pension scheme that is a stakeholder pension scheme will be securities);(3) mortgages or other loans (but note that advising on regulated mortgage contracts is a separate regulated activity under article
Table of FEES 4 rules that correspond to FEES 7 rulesFEES 4 rules Corresponding FEES 7 rulesFEES 4.2.1 RFEES 7.2.1 RFEES 4.3.1 RFEES 7.2.2 RFEES 4.3.3 RFEES 7.2.2 R11FEES 4.3.3A RFEES 7.2.2 RFEES 4.3.12 RFEES 7.2.5 R11FEES 4.3.12A RFEES 7.2.5 RPart 1 of 6FEES 4 Annex 2A6Part 1 of FEES 7 Annex 111Part 2 of FEES 4 Annex 11Part 1 of FEES 7 Annex 11Part 5 of FEES 4 Annex 11Part 1 of FEES 7 Annex 1
For the avoidance of doubt, IPRU-INV does not apply to any of the following: (a) a bank; or (b) a building society; or (ba) a designated investment firm; or (c) a friendly society; or (d) an ICVC; or (e) an incoming EEA firm or an incoming Treaty firm which does not have a top up permission; or (f) an insurer; or (g) a UCITS qualifier.
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R or SYSC 22.9.1R7 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 3443
Misleading a customer as to the availability of a particular credit1 product is likely to include stating or implying that the firm will introduce the customer to a provider of a standard personal loan based on repayment by instalments or of an overdraft facility on a current account (for example, a bank or building society) or of a credit card, but instead introducing the customer to a provider of high-cost short-term credit. [Note: paragraph 3.9p (box) of CBG]1
1Note: The following definitions relevant to the listing rules are extracted from the Glossary.ActThe Financial Services and Markets Act 2000.admission or admission to listing admission of securities to the official list .admission to tradingadmission of securities to trading on an RIE's market for listedsecurities.advertisement(as defined in the PD Regulation) announcements:(a)relating to a specific offer to the public of securities or to an admission to trading on a regulated
Compliance with Principle 11 includes, but is not limited to, giving the FCA11 notice of:2929(1) any proposed restructuring, reorganisation or business expansion which could have a significant impact on the firm's risk profile or resources, including, but not limited to:(a) setting up a new undertaking within a firm'sgroup, or a new branch (whether in the United Kingdom or overseas); or (b) commencing the provision of cross border services into a new territory; or(c) commencing