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

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  1. Point in time
    2007-07-01

PERG 8.35 Authorisation and exemption

PERG 8.35.1GRP

Any person who is contemplating carrying on the regulated activities of advising on investments or making arrangements with a view to transactions in investments by way of business will need authorisation or exemption. AUTH explains about the authorisation process and the procedures for obtaining Part IV permission and for the approval of individuals. Exemption would usually be obtained by a person entering into an agreement with an authorised person under section 39 of the Act and the Financial Services and Markets Act 2000 (Appointed Representative) Regulations 2001.