Related provisions for IPRU-INV 2.1.1
41 - 53 of 53 items.
A firm must make at least the following information easily, directly and permanently accessible to the recipients of the information society services it provides:(1) its name;(2) the geographic address at which it is established;(3) the details of the firm, including its e-mail address, which allow it to be contacted rapidly and communicated with in a direct and effective manner;(4) an appropriate statutory status disclosure statement (GEN 4 Annex 1 R), together with a statement
(1) This chapter does not apply to an authorised professional firm: (a) whose main business is the practice of its profession; and(b) whose regulated activities covered by this chapter are incidental to its main business.(2) A firm's main business is the practice of its profession if the proportion of income it derives from professional fees is, during its annual accounting period, at least 50% of the firm's total income (a temporary variation of not more than 5% may be disregarded
An authorised
professional firm regulated by The Law Society (of England and
Wales), The Law Society of Scotland or The Law Society of Northern Ireland that, with respect to its regulated activities, is subject to 7the rules of its designated professional
body as specified in CASS 5.1.4 R, in force on 14 January
2005, must comply with those
rules7 and if it does so, it will be deemed
to comply with CASS
5.2 to CASS 5.6.7
1This section applies to every firm in the regulatory activity group (RAG) set out in column (1), which is a type of firm in column (2), of the tables in SUP 16.7A.3 R and SUP 16.7A.5 R, except:(1) [deleted]5(2) [deleted]5(3) an oil market participant that is not subject to the requirements of IPRU(INV) Chapter 3;(4) an authorised professional firm other than:(a) a firm that must comply with IPRU(INV) 3, 5 or 13 in accordance with IPRU(INV) 2.1.4R; or(b) a CASS debt management
This chapter does not apply to:(1) [deleted]738738(2) [deleted]1414(3) an authorised professional firm in respect of expressions of dissatisfaction about its non-mainstream regulated activities;
1516(3A) a firm in respect of complaints concerning activities which:28(a) are not carried on in Great Britain but which would be regulated claims management activities if they were carried on in Great Britain; or28(b) are ancillary to activities described in (a);28(4) complaints in respect
(1) This chapter does not apply to an authorised professional firm:(a) whose main business is the practice of its profession; and(b) whose regulated activities covered by this chapter are incidental to its main business.(2) A firm's main business is the practice of its profession if the proportion of income it derives from professional fees is, during its annual accounting period, at least 50% of the firm's total income (a temporary variation of not more than 5% may be disregarded
(1) Where it is compatible with the nature of the obligation imposed by a particular rule, including the customer’s best interests rule,4 and with the Principles, in particular Principles 1 (Integrity), 2 (Skill, care and diligence) and 3 (Management and control), firms may rely on third parties in order to comply with the rules in this sourcebook.(2) For example, where a rule requires a firm to take reasonable steps to achieve an outcome, it will generally be reasonable for a
Financial promotions made only to or directed only at certain types of person who are sophisticated enough to understand the risks involved are exempt. These are:(1) authorised persons;(2) exempt persons (where the financial promotion relates to a controlled activity which is a regulated activity for which the person is exempt);(3) governments and local authorities; and(4) persons whose ordinary business involves carrying on a controlled activity of the kind to which the financial
Under section 107(2) of the Act, the application to the court may be made by the transferor or the transferee or both. As soon as reasonably practical, the intended applicant should choose their nominee for independent expert in the light of any criteria advised by the appropriate regulator. The intended applicant(s) should then advise the appropriate regulator of their choice, unless the appropriate regulator8 wishes them to defer nomination or to make its own nomination. The
(1) An authorised professional firm regulated by the Law Society (of England and Wales), the Law Society of Scotland or the Law Society of Northern Ireland that, with respect to its regulated activities, is subject to the following rules of its designated professional body, must comply with those rules and, where relevant paragraph (3), and if it does so, it will be deemed to comply with the client money rules.(2) The relevant rules are: (a) if the firm is regulated by the Law