Related provisions for TC 4.1.1
1 - 18 of 18 items.
The table below sets out how DISP 1.1A applies to MiFID complaints relating to: (1) the activities of a MiFID investment firm carried on from an establishment in the United Kingdom; (2) the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client; (3) activities carried on from a branch of a UK firm in another EEA State; and (4) activities carried on from a branch of an EEA firm in the United
Subject to CASS 7.10.35 R only the client money rules listed in the table below apply to a trustee firm in connection with money that the firm receives, or holds for or on behalf of a client in the course of or in connection with its designated investment business which is not MiFID business.ReferenceRuleCASS 7.10.1 R to CASS 7.10.6 G, and CASS 7.10.16 R to CASS 7.10.27 RApplicationCASS 7.10.33 R to CASS 7.10.40 GTrustee firmsCASS 7.10.41 GGeneral purposeCASS 7.13.3 R to CASS
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R or SYSC 22.9.1R7 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). 3443