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
    2016-12-31

arranging (bringing about) deals in investments

113the regulated activity, specified in article 25(1) of the Regulated Activities Order, which is in summary: making arrangements for another person (whether as principal or agent) to buy, sell, subscribe for or underwrite a particular investment which is:

  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. (da) a pure protection contract; or
  6. (db) a general insurance contract; or
  7. (e) rights to or interests in investments in (b), (c) or (d).