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DISP 2 Annex 1 Regulated activities for the Voluntary Jurisdiction at 22 July 201323 2 22 21

This table belongs to DISP 2.5.1 R21

G

The activities which were covered by the Compulsory Jurisdiction (at 22 July 2013) were:23

  1. (1) for firms:

    1. (a) regulated activities (other than auction regulated bidding);

    2. (b) payment services;

    3. (c) consumer credit activities;

    4. (d) lending money secured by a charge on land;

    5. (e) lending money (excluding restricted credit where that is not a consumer credit activity);

    6. (f) paying money by a plastic card (excluding a store card where that is not a consumer credit activity);

    7. (g) providing ancillary banking services;

    or any ancillary activities, including advice, carried on by the firm in connection with them.23

  2. (2) for payment service providers:

    1. (a) payment services;

    2. (b) consumer credit activities;

    or any ancillary activities, including advice, carried on by the payment service provider in connection with them.23

  3. (3) for electronic money issuers:

    1. (a) issuance of electronic money; or

    2. (b) consumer credit activities;

    or any ancillary activities, including advice, carried on by the electronic money issuer in connection with them23

120The activities which (at 22 July 2013)23 were regulated activities 21 were, in accordance with section 22 of the Act (The classes of activity and categories of investment), any of the following activities specified in Part II of the Regulated Activities Order:

2122223

  1. (1) accepting deposits (article 5);

  2. (2) issuing electronic money (article 9B);

  3. (3) effecting contracts of insurance (article 10(1));

  4. (4) carrying out contracts of insurance (article 10(2));

  5. (5) dealing in investments as principal (article 14);

  6. (6) dealing in investments as agent (article 21);

  7. (7) arranging (bringing about) deals in investments (article 25(1));

  8. (8) making arrangements with a view to transactions in investments (article 25(2));

  9. (9) arranging (bringing about) regulated mortgage contracts (article 25A(1));

  10. (10) making arrangements with a view to regulated mortgage contracts (article 25A(2));

  11. (11) arranging (bringing about) a home reversion plan (article 25B(1));

  12. (12) making arrangements with a view to a home reversion plan (article 25B(2));

  13. (13) arranging (bringing about) a home purchase plan (article 25C(1));

  14. (14) making arrangements with a view to a home purchase plan (article 25C(2));

  15. 21(14A) operating a multilateral trading facility (article 25D);

  16. (14B) arranging (bringing about) a regulated sale and rent back agreement (article 25E(1));

  17. (14C) making arrangements with a view to a regulated sale and rent back agreement (article 25E(2));

  18. (15) managing investments (article 37);

  19. (16) assisting in the administration and performance of a contract of insurance (article 39A);

  20. (17) safeguarding and administering investments (article 40);

  21. (18) sending dematerialised instructions (article 45(1));

  22. (19) causing dematerialised instructions to be sent (article 45(2));

  23. (20) establishing, operating or winding up a collective investment scheme (article 51(1)(a));

  24. (21) acting as trustee of an authorised unit trust scheme (article 51(1)(b));

  25. (21A) acting as the depositary of an authorised contractual scheme (article 51(1)(bb));23

  26. (22) acting as the depositary or sole director of an open-ended investment company (article 51(1)(c));

  27. (22A) managing a UCITS (article 51ZA);23

  28. (22B) acting as a trustee or depositary of a UCITS (article 51ZB);23

  29. (22C) managing an AIF (article 51ZC);23

  30. (22D) acting as a trustee or depositary of an AIF (article 51ZD);23

  31. (22E) establishing, operating or winding up a collective investment scheme (article 51ZE);23

  32. (23) establishing, operating or winding up a stakeholder pension scheme (article 52(a));

  33. (24) providing basic advice on a stakeholder product (article 52B);

  34. (25) establishing, operating or winding up a personal pension scheme (article 52(b));

  35. (26) advising on investments (article 53);

  36. (27) advising on regulated mortgage contracts (article 53A);

  37. (28) advising on a home reversion plan (article 53B);

  38. (29) advising on a home purchase plan (article 53C);

  39. 21(29A) advising on a regulated sale and rent back agreement (article 53D);

  40. (30) advising on syndicate participation at Lloyd's (article 56);

  41. (31) managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's (article 57);

  42. (32) arranging deals in contracts of insurance written at Lloyd's (article 58);

  43. (33) entering into a regulated mortgage contract (article 61(1));

  44. (34) administering a regulated mortgage contract (article 61(2));

  45. (35) entering into a home reversion plan (article 63B(1));

  46. (36) administering a home reversion plan (article 63B(2));

  47. (37) entering into a home purchase plan (article 63F(1));

  48. (38) administering a home purchase plan (article 63F(2));

  49. 21(38A) entering into a regulated sale and rent back agreement (article 63J(1));

  50. (38B) administering a regulated sale and rent back agreement (article 63J(2));

  51. (38C) meeting of repayment claims (article 63N(1)(a));23

  52. (38D) managing dormant account funds (including the investment of such funds) (article 63N(1)(b));23

  53. (38E) providing information in relation to a specified benchmark (article 63O(1)(a));23

  54. (38F) administering a specified benchmark (article 63O(1)(b));23

  55. (39) entering as provider into a funeral plan contract (article 59);

  56. (40) agreeing to carry on a regulated activity (article 64);

which is carried on by way of business and relates to a specified investment applicable to that activity or, in the case of (20), (21), (22) and (23), is carried on in relation to property of any kind.