Chapter 1 Commission Delegated ... - FCA Handbook

Commission Delegated Regulation EU 2015/2303 Preamble 1 Preamble THE EUROPEAN COMMISSION, Having regard to the Treaty on the Functioning of the European Union, Having regard to

FCA Handbook only COLUMN B Application to all other firms apart from insurers, UK ISPVs, managing agents, the Soci- ety, full-scope UK COLUMN A AIFMs of unau- COLUMN A++ Application

SYSC 1 : Application and Section 1.2 : Purpose purpose 1 G 1.2.1 G 1.2.1A ■ Release 29 ● May 2023 www.handbook.fca.org.uk SYSC 1/2 1.2 Purpose The purposes of SYSC are: 1 to

[Note: articles 13, 14, 163, 242 and 412 of MiFID] A TP firm and a Gibraltar-based firm must also comply with the provisions in ■PROD 1.3and■PROD 3in relation to a pathway investment,

1 If it appears to the FCA that there is, or there may be, a breach of the listing rules or the disclosure requirements and transparency rules by an issuer with a premium listing, the

Commission Delegated Regulation EU 2019/885 Article 1 Identification of the third party 1 Article 1 Identification of the third party 1 An application for authorisation as referred

Non-exhaustive list of examples of when the FCA may itself appoint a skilled person rather than require a firm to do so Toolkit purpose Purpose for use of tool Examples of reasons for

[Note: sections 64A4 and 5a of the Act Rules of conduct] For a person P who is a board director of a firm Firm A but is not an approved person of Firm A, COCON applies to the conduct