Transcription of Principles for Businesses
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Principles for Businesses
Principles forBusinessesPRIN ContentsPrinciples for BusinessesPRIN and and the Principles1 Annex 1 Non-designated investment business - clients that afirm may treat as aneligible counterparty for the purposes of PRINPRIN 2 The PrinciplesPRIN 3 Rules about 4 Principles : MiFID : MiFID businessTransitional provisions and SchedulesTP 1 Transitional provisionsSch 1 Record Keeping RequirementsSch 2 Notification requirementsSch 3 Fees and other required paymentsSch 4 Powers ExercisedSch 5 Rights of action for damagesSch 6 Rules that can be waivedn Release 0l Oct iPrinciples for BusinessesChapter 1 Introductionn Release 0l Oct 1/1 PRIN 1 : IntroductionSection : Application and Release 0l Oct 1 and Principles (see n PRIN 2) apply in whole or in part to every firm. Theapplication of the Principles is modified for firms conducting MiFID business,incoming EEA firms, incoming Treaty firms, UCITS qualifiers AIFM qualifiers,and Annex II benchmark administrators.
PRIN 1 : Introduction Section 1.1 : Application and purpose 1 1.1.9 G 1.1.10 G PRIN 1/4 www.handbook.fca.org.uk Release 12 Oct 2021 and of investigation and intervention, and provide a basis on which theFCA may apply to a court for aninjunctionor restitution order or require afirm or otherpersonto make restitution.However, thePrinciplesdo not give rise ...
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