DISP 2 Annex 1 Regulated Activities for the Voluntary Jurisdiction at 12 December 2017 987254254262666

The activities which were covered by the Compulsory Jurisdiction (at 13 December 20179 20166) were:23

1. (1) for firms:

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

   2. (b) payment services;

   3. [deleted]324

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

   5. (e) lending money (excluding restricted credit where that is not a credit-related regulated activity);324

      324

   6. (f) paying money by a plastic card (excluding a store card where that is not a credit-related regulated activity);324

      324

   7. (g) providing ancillary banking services;

   8. 26(h) [deleted]5

      5

   9. (i) CBTL business;

      6
   23

2. (2) for payment service providers:

   1. (a) payment services;

   2. (b) credit-related regulated activities;324

      324

   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;

      324

   2. (b) credit-related regulated activities;324

      324

   or any ancillary activities, including advice, carried on by the electronic money issuer in connection with them23;6

4. (4) for CBTL firms: CBTL business or any ancillary activities, including advice, carried on by the CBTL firm in connection with it.

   6

5. (5) for designated credit reference agencies:7

   1. (a) providing credit information under the Small and Medium Sized Business (Credit Information) Regulations; or7

   2. (b) any ancillary activities, including advice, carried on by the designated credit reference agency in connection with the activity in (a).7

6. 9(6) for designated finance platforms:

   1. (a)9 providing specified information under the Small and Medium Sized Business (Finance Platforms) Regulations; or

   2. (b)9 any ancillary activities, including advice, carried on by the designated finance platform in connection with the activity in paragraph (a).

120The activities which (at 13 December 20177 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:

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. (14D) credit broking (article 36A);324

19. (14E) operating an electronic system in relation to lending (article 36H);324

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

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

22. (16A) debt adjusting (article 39D(1) and (2));324

23. (16B) debt counselling (article 39E(1) and (2));324

24. (16C) debt collecting (article 39F(1) and (2));324

25. (16D) debt administration (article 39G(1) and (2));324

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

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

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

29. 254
30. 254
31. 254
32. 254

33. (22A) managing a UCITS (article 51ZA);23

34. (22B) acting as a trustee or depositary of a UCITS (article 51ZB);23

35. (22C) managing an AIF (article 51ZC);23

36. (22D) acting as a trustee or depositary of an AIF (article 51ZD);23

37. (22E) establishing, operating or winding up a collective investment scheme (article 51ZE);23

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

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

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

41. (26) advising on investments (except P2P agreements)8 (article 53(1)8);

42. (26A) advising on P2P agreements (article 53(2));8

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

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

45. (28A) 6 advising on a home purchase plan (article 53C);

    6

46. (29) 6 advising on a regulated sale and rent back agreement (article 53D);

    216

47. (29A) advising on regulated credit agreements for the acquisition of land (article 53DA)

    6

48. (29B) advising on conversion or transfer of pension benefits (article 53E);5

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

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

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

52. (32A) entering into a regulated credit agreement (article 60B(1));324

53. (32B) exercising, or having the right to exercise, rights and duties under a regulated credit agreement (article 60(B)(2);324

54. (32C) entering into a regulated consumer hire agreement (article 60N(1));324

55. (32D) exercising, or having the right to exercise rights and duties under a regulated consumer hire agreement (article 60N(2));324

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

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

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

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

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

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

62. 21(38A) entering into a regulated sale and rent back agreement (article 63J(1));

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

64. (38C) meeting of repayment claims (article 63N(1)(a));23

65. (38D) managing dormant account funds (including the investment of such funds) (article 63N(1)(b));23

66. (38E) providing information in relation to a specified benchmark (article 63O(1)(a));23

67. (38F) administering a specified benchmark (article 63O(1)(b));23

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

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

70. (40A) providing credit information services (article 89A);324

71. (40B) providing credit references (article 89B);324

which is carried on by way of business and relates to a specified investment applicable to that activity or, in the case of (22) , (22A), (22B), (22C), (22D), (22E) 254and (23), is carried on in relation to property of any kind or, in the case of (40A) or (40B) relates to information about a person's financial standing.324