Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-08-26.

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)150,193143 APER and CONRED 2193143) the regulated activities131, specified in article 53(1) to (1D)193143 and article193143 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)193143 and article 53(2)193143 (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 2013.193143