Related provisions for SYSC 1.4.1A

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PERG 2.10.14GRP
The regulated activities that may be carried on in this way are restricted by an Order made by the Treasury under section 327(6) of the Act (Exemption from the general prohibition) (the Non-Exempt Activities Order). Accordingly, under that section, a person may not by way of business carry on any of the following activities without authorisation:(1) accepting deposits;(2) effecting or carrying out contracts of insurance;(3) dealing in investments as principal;(3A) 4bidding in
DISP 1.1.5RRP
This chapter does not apply to:(1) [deleted]739739(2) [deleted]1414(3) an authorised professional firm in respect of expressions of dissatisfaction about its non-mainstream regulated activities; and 15(4) complaints in respect of auction regulation bidding. 15
COBS 1.1.1CRRP
5The following rules in COBS apply to a firm in relation to its carrying on of auction regulation bidding:(1) COBS 5 (Distance communications);(2) (for a firm that has exercised an opt-in to CASS in accordance with CASS 1.4.9 R in relation only to those clients for which it holds client money or safe custody assets in accordance with CASS) COBS 3 (Client categorisation), COBS 6.1.7 R (Information concerning safeguarding of designated investments belonging to clients and client
SUP 13A.3.2GRP
(1) On qualifying for authorisation, subject to SUP 13A.3.1C G (1),6 an EEA firm (except for an EEA firm that has received authorisation under article 18 of the auction regulation)7 will have permission to carry on each permitted activity (see (3) below) which is a regulated activity.6(2) 6[deleted](3) The permitted activities of an EEA firm (except for an EEA firm that has received authorisation under article 18 of the auction regulation)7 are those activities identified in the
PERG 2.6.19EGRP
9It relates only to the regulated activity of bidding in emissions auctions (whereby a bid is received, transmitted and submitted on an auction platform) and captures the two forms of allowance products that may be auctioned under article 4(2) of the auction regulation: a two-day spot or a five-day future.
PERG 2.9.1GRP
The various exclusions outlined below deal with a range of different circumstances. (1) Each set of circumstances described in PERG 2.9.3 G to PERG 2.9.17 G has some application to several regulated activities relating to securities, relevant investments orhome finance transactions.4 They have no effect in relation to the separate regulated activities of accepting deposits, issuing electronic money,9effecting or carrying out contracts of insurance, bidding in emissions auctions,10advising