Related provisions for BIPRU 7.9.40

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PERG 2.8.4GRP
The regulated activity of dealing in investments as principal applies to specified transactions relating to any security or to any contractually based investment (apart from rights under funeral plan contracts or rights to or interests in such contracts). The activity is cut back by exclusions as follows.(1) Of particular significance is the exclusion in article 15 of the Regulated Activities Order (Absence of holding out etc). This applies where dealing in investments as principal
GENPRU 1.2.71GRP
In identifying scenarios, and assessing their impact, a firm should take into account, where material, how changes in circumstances might impact upon:(1) the nature, scale and mix of its future activities; and(2) the behaviour of counterparties, and of the firm itself, including the exercise of choices (for example, options embedded in financial instruments or contracts of insurance).