Content Options:

Content Options

View Options:


You are viewing the version of the document as on 2021-04-30.

making arrangements with a view to transactions in investments

95the regulated activity, specified in article 25(2) of the Regulated Activities Order (Arranging deals in investments), which is in summary: making arrangements with a view to a person who participates in the arrangements buying, selling, subscribing for or underwriting any of the following investments (whether as principal or agent):

  1. (a) a designated investment (other than a P2P agreement); or
  2. (b) a funeral plan contract; or
  3. (c) the underwriting capacity of a Lloyd's syndicate; or
  4. (d) membership of a Lloyd's syndicate; or
  5. (e) rights to or interests in investments in (b), (c) or (d); or
  6. (f) a pure protection contract; or
  7. (g) a general insurance contract; or118174
  8. 118174 (h) a structured deposit.