Related provisions for SUP 10A.6.2
1 - 4 of 4 items.
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or to 9SYSC 288 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 34437
7(-2) 13This section applies to:(a) a limited scope SMCR firm (other than a firm in SUP 10C Annex 1 7.10R (Table: Limited scope SMCR firms to which no controlled functions apply)); and
(b) an authorised professional firm that is a core SMCR firm.
(-1) 13The application of this section is further limited by the rest of this rule.(1) 13This section applies to an authorised professional firm as follows:
(a) it only applies in respect of its non-mainstream regulated activities; and
(b)