Related provisions for GEN 4.5.2

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

A retail client is a client who is not a professional client or an eligible counterparty. [Note: article 4(1)(12) of MiFID]
If a firm provides services relating to a CTF (except for a personal recommendation relating to a contribution to a CTF), the firm'sclient is a retail client even if it would otherwise be categorised as a professional client or an eligible counterparty under this chapter.
SYSC 10.1.2GRP
The requirements in this section only apply where a service is provided by a common platform firm. The status of the client to whom the service is provided (as a retail client, professional client or eligible counterparty) is irrelevant for this purpose.[Note:recital 25 of MiFID implementing Directive]
121The following are not eligible complainants:(1) (in all jurisdictions) a firm, licensee or VJ participant whose complaint relates in any way to an activity which:(a) the firm itself has permission to carry on; or(ab) (b) the licensee or VJ participant itself conducts;and which is subject to the Compulsory Jurisdiction, the Consumer Credit Jurisdiction or the Voluntary Jurisdiction;(2) (in the Compulsory Jurisdiction) a complainant, other than a trustee of a pension scheme
(1) Certain requirements under MiFID are disapplied for:(a) eligible counterparty business;(b) transactions concluded under the rules governing a multilateral trading facility between its members or participants or between the multilateral trading facility and its members or participants in relation to the use of the multilateral trading facility;(c) transactions concluded on a regulated market between its members or participants.(2) Under PRIN 3.1.6 R, these disapplications may
This section is not relevant to the question of who is the firm's counterparty for prudential purposes and it does not 2affect any obligation a firm may owe to any other person under the general law.
(1) CASS applies directly in respect of activities conducted with or for all categories of clients.22(2) [deleted]52225(3) The insurance client money chapter2 does not generally distinguish between different categories of client. However, the term consumer4is used for those to 4whom additional obligations are owed, rather than the term retail client.2 This is to be consistent with the client categories used in 1the Insurance: New Conduct of Business sourcebook4.2424(4) Each provision