Home FCA Handbook SUP SUP 8 SUP 8.1 Application and purpose
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SUP 8.1 Application and purpose

28/02/2014R

This chapter applies to every:

  1. (1)

    firm or person who is subject to FCA rules that wishes to apply for, consent to, or has been given a modification of or waiver of the FCA's rules;

  2. (2)

    person, as respects a particular AUT, ACS or ICVC, who wishes to apply for, consent to, or has been given a modification of or waiver of the rules in COLL.

01/04/2013G

This chapter is relevant to an applicant for a Part 4A permission, as if that applicant were a firm. Where the chapter refers to appropriatesupervisory contact, the applicant should read this as being the usual supervisorycontact at the appropriate regulator. Further, this chapter is relevant to a person who is subject to rules made by the appropriate regulator and where the chapter refers to a firm, this includes that person.

21/06/2001G

A recognised body should see REC 3.3 for information on waivers of rules in REC under section 294 of the Act.

01/04/2013G

This chapter is not relevant to the functions of the FCA acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing).

Purpose

01/11/2007G

This chapter explains how the regime for the waiver of rules works.