Table of applicable rules containing data items4, frequency and submission periods
(1) |
(2) |
(3) |
(4) |
|
RAGnumber |
Provisions containing: |
|||
applicabledata items |
reporting frequency/ period |
Due date |
||
RAG 1 |
• accepting deposits • issuing electronic money |
|||
RAG 2.1 |
• effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract |
|||
RAG 2.2 |
• managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds • advising on syndicate participation at Lloyds • arranging deals in contracts of insurance written at Lloyds |
|||
RAG 3 |
• dealing in investment as principal • dealing in investments as agent • advising on investments (excluding retail investment activities) • arranging (bringing about) deals in investments (excluding retail investment activities) |
|||
RAG 4 |
• managing investments • establishing, operating or winding up a regulated collective investment scheme • establishing, operating or winding up an unregulated collective investment scheme • establishing, operating or winding up a stakeholder pension scheme • establishing, operating or winding up a personal pension scheme2 |
|||
RAG 5 |
• home finance administration or home finance providing activity11 11 |
|||
RAG 6 |
• acting as trustee of an authorised unit trust • safeguarding and administration of assets (without arranging) • arranging safeguarding and administration of assets • acting as depository or sole director of an OEIC5 |
|||
RAG 7 |
• retail investment activities • advising on pensions transfers & opt-outs • arranging (bringing about deals) in retail investments |
|||
RAG 8 |
• making arrangements with a view to transactions in investments • operating a multilateral trading facility4 |
|||
RAG 9 |
• mortgage mediation activity • insurance mediation activity (non-investment insurance contracts) |
|||
RAG 10 |
||||