Related provisions for SUP 13A.5.1

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SUP 12.9.5RRP
2If a UK MiFID investment firm appoints an EEA tied agent this section applies to that firm as though the EEA tied agent were an appointed representative.
DISP 1.1A.7RRP

The table below sets out how DISP 1.1A applies to MiFID complaints relating to:

  1. (1)

    the activities of a MiFID investment firm carried on from an establishment in the United Kingdom;

  2. (2)

    the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client;

  3. (3)

    activities carried on from a branch of a UK firm in another EEA State; and

  4. (4)

    activities carried on from a branch of an EEA firm in the United Kingdom.

Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms, branches of UK firms and UK branches of EEA firms

(1) Provision

(2) Provision applies to the MiFID business of a firm carried on from an establishment in the UK?

(3) Provision applies to the equivalent third country business of a third country investment firm where the complaint is received from a retail client or an elective professional client?

(4) Provision applies to a branch of a UK firm in another EEA State?

(5) Provision applies to a branch of an EEA firm in the UK?

1.1A.10EU

Yes

Yes

Yes

Yes

1.1A.11R

Yes

Yes

No

Yes

1.1A.12EU

Yes

Yes

Yes

Yes

1.1A.13EU

Yes

Yes

Yes

Yes

1.1A.14G

Yes

Yes

Yes

No

1.1A.15G

Yes

Yes

Yes

No

1.1A.16EU

Yes

Yes

Yes

Yes

1.1A.17EU

Yes

Yes

Yes

Yes

1.1A.18EU

Yes

Yes

Yes

Yes

1.1A.19G

Yes

Yes

Yes

No

1.1A.20R

Yes

Yes

No

Yes

1.1A.21G

Yes

Yes

No

Yes

1.1A.22R

Yes

Yes

No

No

1.1A.23R

Yes

Yes

No

Yes

1.1A.24EU

Yes

Yes

Yes

Yes

1.1A.25EU

Yes

Yes

Yes

Yes

1.1A.26R

Yes

Yes

No

Yes

1.1A.27G

Yes

Yes

No

Yes

1.1A.28R

Yes

Yes

No

Yes

1.1A.29EU

Yes

Yes

Yes

Yes

1.1A.30EU

Yes

Yes

Yes

Yes

1.1A.31R

Yes

Yes

No

Yes

1.1A.32G

Yes

Yes

No

Yes

1.1A.33G

Yes

Yes

No

Yes

1.1A.34G

Yes

Yes

No

Yes

1.1A.35R

Yes

Yes

No

Yes

1.1A.36R

Yes

Yes

No

Yes

1.1A.37EU

Yes

Yes

Yes

Yes

1.1A.38EU

Yes

Yes

Yes

Yes

1.1A.39R

Yes

Yes

No

Yes

1.1A.40R

Yes

Yes

No

No

1.1A.41G

Yes

Yes

No

No

1.1A.42R

No

No

Yes

No

Notes

(1) The provisions marked “EU” in the table are ‘directly applicable’ which means they apply to all MiFID investment firms in relation to MiFID complaints by virtue of the MiFID Org Regulation.

(2) This table should be read in conjunction with the rules and guidance in DISP 1.1A.1R to DISP 1.1A.6R.

REC 1.2.1GRP
The purpose of the guidance (other than in REC 6A) 2in this sourcebook is to give information on the recognised body requirements.3 The purpose of the guidance3 in REC 6A is to give EEA market operators information about their passporting rights in the United Kingdom2. Explanations of the purposes of the rules in this sourcebook are given in the chapters concerned.2233
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or to 9SYSC 288 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). 34437
PRIN 4.1.2GRP
Under PRIN 3.3.1 R, the territorial application of a number of Principles to a UK MiFID investment firm is extended to the extent that another applicable rule or EU regulation6 which is relevant to an activity has a wider territorial scope. Under PRIN 3.1.1 R, the territorial application of a number of Principles to an EEAMiFID investment firm is narrowed to the extent that responsibility for the matter in question is reserved to the firm'sHome State regulator. These modifications