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You are viewing the version of the document as on 2022-03-31.

OPS activity

  1. (a) managing investments in a case where the assets managed are:
    1. (i) held for the purposes of an occupational pension scheme; or
    2. (ii) held for the purposes of a welfare trust established by a person who is, or has been at any time during the last 12 months, an associate of the OPS firm; or
    3. (iii) assets of an OPS collective investment scheme;
  2. (b) any one or more of the following activities undertaken in the course of, or incidental to, the operation of an occupational pension scheme, welfare trust or OPS collective investment scheme:
    1. (i) dealing in investments as principal;
    2. (ii) dealing in investments as agent;
    3. (iii) arranging (bringing about) deals in investments;
    4. (iv) making arrangements with a view to transactions in investments;
    5. (v) safeguarding and administering investments;
    6. (vi) advising on investments;
    7. (vii) receiving or holding client money.4