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controlled activity

(in accordance with section 21(9) of the Act (The classes of activity and investment)) any of the following activities specified in Part 1 of Schedule 1 to the Financial Promotions Order (Controlled Activities):

  1. (a) accepting deposits (paragraph 1)
  2. (b) effecting contracts of insurance (paragraph 2(1)):
  3. (c) carrying out contracts of insurance (paragraph 2(2));
  4. (d) dealing in securities and contractually based investments as principal or agent (paragraph 3(1));
  5. (e) arranging (bringing about) deals in investments (paragraph 4(1));
  6. (f) making arrangements with a view to transactions in investments (paragraph 4(2));
  7. (g) managing investments (paragraph 5);
  8. (h) safeguarding and administering investments (paragraph 6);
  9. (i) advising on investments (paragraph 7);
  10. (j) advising on syndicate participation at Lloyd's (paragraph 8);
  11. (k) providing funeral plan contracts (paragraph 9);
  12. (l) providing qualifying credit (paragraph 10);
  13. (m) arranging qualifying credit etc. (paragraph 10A -coming into force 31st October 2004);
  14. (n) advising on qualifying credit etc. (paragraph 10B -coming into force 31st October 2004312);
  15. (o) agreeing to carry on specified kinds of activity (paragraph 11) which are specified in paragraphs 3 to 10 (10B from 31 October 2004) of Part 1 of Schedule 1 to the Financial Promotion Order.