Related provisions for PERG 4.6.20

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SUP 12.5.2GRP
(1) Regulations 3(1) 8and (2) of the Appointed Representatives Regulations make it a requirement that the contract between the firm and the appointed representative (unless it prohibits the appointed representative from representing other counterparties) contains a provision enabling the firm to:488(a) impose such a prohibition; or(b) impose restrictions as to the other counterparties which the appointed representative may represent, or as to the types of investment in relation
TC App 1.1.1RRP

1Activity

Products/Sectors

Is there an appropriate examinationrequirement?

Designated investment business carried on for a retail client

Providing basic advice

1.

Stakeholder products excluding a deposit-based stakeholder product

No

Advising

2.

Securities which are not stakeholder pension schemes or broker funds

Yes

3.

Derivatives

4.

Packaged products which are not broker funds

5.

Friendly Societylife policies where the employee is not reasonably expected to receive a remuneration of greater than £1000 a year in respect of such sales

6.

Friendly Society tax-exempt policies

7.

Long-term care insurance contracts

8.

Investments in the course of corporate finance business

9.

Advising on syndicate participation at Lloyd's

Undertaking the activity in column 2

10.

Broker fund adviser

Yes

11.

Pension transfer specialist

Advising and dealing

12.

Securities which are not stakeholder pension schemes or broker funds

Yes

13.

Derivatives

Managing

14.

Investments

Yes

Overseeing on a day-to-day basis

15.

Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme

Yes

16.

Safeguarding and administering investments or holding client money

17.

Administrative functions in relation to managing investments

18.

Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies

19.

Administrative functions in relation to the operation of stakeholder pension schemes

Regulated mortgage activity and reversion activity carried on for a customer

Advising

20.

Regulated mortgage contracts for a non-business purpose

Yes

21.

Equity release transactions

Designing scripted questions for non-advised sales

22.

Equity release transactions

Yes

Overseeing non-advised sales on a day-to-day basis

23.

Equity release transactions

Yes

Non-investment insurance business carried on for a consumer

Advising

24.

Non-investment insurance contracts

No

Notes:

1.

In the Appendix the heading and types of business specified in the headings are to be read in conjunction with the paragraphs appearing beneath them.

2.

Thus, for example, paragraph 24, under the final heading, refers only to advice on non-investment insurance contracts given to a consumer.