Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2023-11-07.

security

  1. 119
    1. (1) (except in LR and CONC122) (in accordance with article 3(1) of the Regulated Activities Order (Interpretation)) any of the following investments specified in that Order:
      1. (a) share (article 76);
      2. (b) debenture (article 77);
      3. (ba) alternative debenture (article 77A);
      4. (c) government and public security (article 78);
      5. (d) warrant (article 79);
      6. (e) certificate representing certain securities (article 80);
      7. (f) unit (article 81);
      8. (g) stakeholder pension scheme (article 82(1));
      9. (ga) personal pension scheme (article 82(2));
      10. (gab) pension scheme which provides safeguarded benefits (article 82(3)) (but only in relation to advising on conversion or transfer of pension benefits);167
      11. (gb) emission allowance (article 82B); and161
      12. (h) rights to or interests in investments in (a) to (g) (article 89).
    2. (2) (in LR) (in accordance with section 102A of the Act) anything which has been, or may be admitted to the official list.
    3. (3) (in CONC) in accordance with article 60L of the Regulated Activities Order, in relation to a credit agreement or a consumer hire agreement122, a mortgage, charge, pledge, bond, debenture, indemnity, guarantee, bill, note or other right provided by the borrower or hirer or122 at the implied or express request of the borrower or hirer122 to secure the carrying out of the obligations of the borrower or hirer122 under the agreement.
    4. (4) (in COLL) in addition and to the extent it does not fall within (1), an investment which would have been within the definition of “security” in the FCA Handbook immediately before IP completion day194