Related provisions for IPRU-INV 9.1.1
1 - 5 of 5 items.
(1) IPRU-INV applies to: (a) a members' adviser; (b) an investment management firm; (c) a personal investment firm; (d) an authorised professional firm; (e) a securities and futures firm; (f) a service company; (g) the Society of Lloyd's (in relation to underwriting agents); (h) [deleted] (i) a credit union which is a CTF provider; and (j) an exempt
Table This table belongs to IPRU (INV) 1.2.4R Authorised professional firmChapters 1 and 2 Securities and futures firm (which is not a MiFID investment firm) Chapters 1 and 3 Securities and futures firm (which is an exempt BIPRU commodities firm or an exempt IFPRU commodities firm) Chapters 1 and 3 The Society of Lloyd's (in relation to underwriting agents) and members' advisersChapters
(1) An exempt CAD firm must, at all times, maintain a combination of professional indemnity insurance and own funds, (own funds to be calculated in accordance with (2)), at least equal to the requirements in this chapter for professional indemnity insurance and initial capital. (2) (a) If the exempt CAD firm is an investment management firm its own funds must be calculated in accordance with the rules in IPRU-INV 5.2 to 5.71.(b) If the exempt CAD
Applicable sections (see SUP 3.1.1 R)This table and the provisions in SUP 3 should be read in conjunction with GEN 2.2.23 R to GEN 2.2.25 G. In particular, the PRA does not apply any of the provisions in SUP 3 in respect of FCA-authorised persons. SUP 3.10 and SUP 3.11 are applied by the FCA only.37(1) Category of firm(2) Sections applicable to the firm(3) Sections applicable to its auditor(1) Authorised professional firm which is required by IPRU(INV) 2.1.2R to comply with chapters