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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
(1) Section(s)
(2) Categories of firm to which section applies
(3) Applicable rules and guidance
SUP 16.1,SUP 16.2andSUP 16.3
All categories of firm except:
Entire sections
(a)
an ICVC;
(b)
an incoming EEA firm or incoming Treaty firm, which is not:
(i)
a firm of a type to which SUP 16.6 or SUP 16.7 applies; or
(ii)
an insurer with permission to effect or carry outlife policies; or
(iii)3
a firm with permission to establish, operate or wind up a stakeholder pension scheme;
(c)
a UCITS qualifier.
SUP 16.4 and SUP 16.52
(-a)
a credit union;2
an incoming EEA firm;
an incoming Treaty firm;
(d)
a non-directive friendly society;
(e)4
[deleted]4
(f)
a sole trader;
(g)
a service company;
(h)
SUP 16.6
Bank, ELMI
SUP 16.6.4 R to SUP 16.6.5 R
Depositary of an ICVC
SUP 16.6.6 R to SUP 16.6.9 G
OPS firm
SUP 16.6.6 R to SUP 16.6.8 R
Trustee of an AUT
SUP 16.7
Bank, other than an EEA bank with permission for cross border services only.1
SUP 16.7.7 R to SUP 16.7.15 R
Building society
SUP 16.7.16 R to SUP 16.7.19 R
Service company
SUP 16.7.20 R to SUP 16.7.21 R
Securities and futures firm (other than an oil market participant to which IPRU(INV) 3 does not apply)
SUP 16.7.22 R to SUP 16.7.34 G
Investment management firm
SUP 16.7.35 R to SUP 16.7.41 R
Personal investment firm
SUP 16.7.42 G to SUP 16.7.53 G
Authorised professional firm (note)
SUP 16.7.54 R
Society of Lloyd's
SUP 16.7.55 R to SUP 16.7.56 R and SUP 16.7.59 R (1) and SUP 16.7.59 R (2)
Members' adviser
SUP 16.7.57 R to SUP 16.7.58 R, SUP 16.7.59 R (3), SUP 16.7.60 G and SUP 16.7.61 G
Credit Union2
SUP 16.7.62 R to SUP 16.7.63 R2
ELMI
SUP 16.7.64 R to SUP 16.7.66 R
UCITS management company6
6SUP 16.7.67 R to SUP 16.7.72 R
Member of a financial conglomerate10
SUP 16.7.82 R to SUP 16.7.83 R10
Insurer with permission to effect or carry out life policies, unless it is a non-directive friendly society3
Entire section
3Firm with permission to establish, operate or wind up a stakeholder pension scheme
Entire section3
SUP 16.95
Firm with permission to advise on investments; arrange (bring about) deals in investments; make arrangements with a view to transactions in investments; or arrange safeguarding and administration of assets5
Entire section5
