GEN 7.1.1

Past version: effective from 28/04/2011 - 22/12/2012
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(1) Subject to (2), this chapter applies to every Person who is:
(a) an Authorised Firm;
(b) an applicant for a Licence to be an Authorised Firm;
(c) an Authorised Individual; or
(d) an applicant for Authorised Individual status.
(2) This chapter does not apply to a Person intending to:
(a) Operate an Exchange;
(b) Operate a Clearing House; or
(c) Operate a Representative Office.