TC App 3
Appendix 3
TC App 3.1
Circumstances in which TC does not apply
- 01/01/2011
TC App 3.1.1
See Notes
| Type of firm/activity | Application |
| Incoming EEA firm | This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU instrument to the firm's Home State regulator |
| Incoming Treaty firm | This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU instrument to the firm's Home State regulator |
| UCITS qualifier | This sourcebook only applies where it is relevant to the manner in which a firm communicates or approves a financial promotion |
| Authorised professional firm | TC does not apply with respect to its non-mainstream regulated activities (see PROF 5.2) |
| Incoming ECA provider | TC does not apply to an incoming ECA provider acting as such. |
- 01/12/2009