Reset to Today

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

Content Options:

Content Options

View Options:

Alternative versions

  1. Point in time
    2020-11-25

SMCR financial activities

174any of the following:

(a) regulated activities;

(b) an activity carried on in connection with a regulated activity (whether current, past or contemplated);

(c) an activity held out as being for the purposes of a regulated activity (whether current, past or contemplated);

(d) activities that constitute dealing in investments as principal, disregarding the exclusion in article 15 of the Regulated Activities Order (Absence of holding out etc); or

(e) activities listed in points 2 to 15 of Annex I to the CRD (List of activities subject to mutual recognition).