Reset to Today

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

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

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

Timeline guidance

advising on investments

113

  1. (1) (except in SUP 10A (FCA150 Approved Persons in Appointed Representatives160), SYSC 27 (Senior managers and certification regime: Certification regime)150,196143 APER and CONRED 2196143) the regulated activities131, specified in article 53(1) to (1D)196143 and article196143 53(2)131 of the Regulated Activities Order (Advising on investments), which are131:
    1. (a) advising on investments (except P2P agreements); and131
    2. (b) advising on P2P agreements.131
  2. (2) (in SUP 10A (FCA150 Approved Persons in Appointed Representatives160), SYSC 27 (Senior managers and certification regime: Certification regime)150 and APER) the regulated activities131 specified in 131article 53(1) to (1D)196143 and article 53(2)196143 (Advising on investments) of the Regulated Activities Order. For these purposes, advising on investments includes any activities that would be included but for the exclusion in article 72AA (Managers of UCITS and AIFs) of the Regulated Activities Order.
  3. (3) (in CONRED 2) has the meaning in force on 1 April 2013.196143