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You are viewing the version of the document as on 2022-12-01.

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    2022-12-01

administrative functions

  1. 4(a) (in relation to managing investments):
    1. (i) arranging settlement;
    2. (ii) monitoring and processing corporate actions;
    3. (iii) client account administration, liaison and reporting, including valuation and performance measurement;
    4. (iv) ISA58 or CTF administration;16
    5. (v) investment trust savings scheme administration;
  2. (b) (in relation to effecting or carrying out life policies):
    1. (i) new business administration;
    2. (ii) policy alterations including surrenders and policy loans;
    3. (iii) preparing projections;
    4. (iv) processing claims including pension payments;
    5. (v) fund switching;
  3. (c) (in relation to the operation of a stakeholder pension scheme):
    1. (i) new business administration;
    2. (ii) receipt of or alteration to contributions;
    3. (iii) preparing projections and annual statements;
    4. (iv) administration of transfers;
    5. (v) handling claims, including pension payments;
    6. (vi) fund allocation and switching.