Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  2. Point in time
    2006-05-06

AUTH 3.5 Specified investments

AUTH 3.5.1G

The specified investments for which an applicant may apply for Part IV permission are listed in PERG 2 Annex 2G1. In general, the FSA has described these specified investments in a way that mirrors the activities specified in the Regulated Activities Order (see PERG 2.61). The FSA has, however, sub-divided certain specified investments in the Regulated Activities Order to distinguish those investments which, among other things, are considered to have significantly different risk profiles. These are:

11
  1. (1)

    commodity futures and commodity options and options on commodity futures, which have been distinguished from other futures and options;

  2. (2)

    spread bets, which have been distinguished from other contracts for differences; and

  3. (3)

    rolling spot forex contracts, which have been distinguished from other contracts for differences and futures.