Definition of FCA Rules


FCA Rules means any rules and guidance made by the FCA under FSMA and set out in the FCA's handbook of rules and guidance as amended from time to time, and includes any rules and guidance made by any successor regulatory body;

Examples of FCA Rules in a sentence

The Sub-Advisor represents, warrants and covenants that it is authorized and regulated by the Financial Conduct Authority ("FCA" and the applicable rules promulgated by the FCA, the "FCA Rules").
The Investment Adviser should be aware that professional clients will not be entitled to certain protections afforded by the FCA Rules to retail clients.
The Investment Adviser and its affiliates shall for all purposes herein be deemed a Professional Client as defined under the rules and guidance promulgated by the Financial Conduct Authority in the FCA Handbook (hereinafter referred to as the "FCA Rules").
Nothing in this Agreement will exclude or restrict any liability which the Local Manager has under the Financial Services and Markets Act 2000 or the FCA Rules in relation to the Investment Adviser and which may not be excluded or restricted thereunder.
This policy describes the required period for the retention of records and is based upon FCA Rules for record keeping, the record keeping requirements of the Investment Company Act of 1940 and the Investment Advisers Act 1940 in the United States, the requirements of the Inland Revenue for financial records, and market best practice as advised by our legal consultants.