Related provisions for PERG 2.2.4

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

2This chapter applies to:(1) a firm;(2) in relation to the guidance4 in SYSC 18.3.9G, 45every firm; 54(3) in relation to SYSC 18.3.6R and SYSC 18.3.10R, EEA SMCR banking firms6 and overseas SMCR banking firms8 only in relation to a branch maintained by them in the United Kingdom; and564(4) in relation to SYSC 18.6.1R to SYSC 18.6.3G (Whistleblowing obligations under MiFID):5(a) a UK MiFID investment firm, except a collective portfolio management firm; and5(b) a third country investment
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).