Related provisions for INSPRU 1.5.4

LR 9.6.19R01/04/2013

A listed company which changes its name must, as soon as possible:(1) notify a RIS of the change, stating the date on which it has taken effect;(2) inform the FCA in writing of the change; and(3) where the listed company is incorporated in the United Kingdom, send the FCA a copy of the revised certificate of incorporation issued by the Registrar of Companies.

PR 5.3.1UK01/04/2013

Sections 87H and 87I of the Act provide:

Prospectus approved in another EEA State
87H	(1)	A prospectus approved by the competent authority of an EEA State other than the United Kingdom is not an approved prospectus for the purposes of section 85 unless that authority has notified ESMA and provided the competent authority with -3
		(a)	a certificate of approval;
		(b)	a copy of the prospectus as approved; and
		(c)	if requested by the [FCA], a translation of the summary of the prospectus.
	(2)	A document is not a certificate of approval unless it states that the prospectus -
		(a)	has been drawn up in accordance with the prospectus directive; and
		(b)	has been approved, in accordance with that directive, by the competent authority providing the certificate.
	(3)	A document is not a certificate of approval unless it states whether (and, if so, why) the competent authority providing it authorised, in accordance with the prospectus directive, the omission from the prospectus of information which would otherwise have been required to be included.
	3(3A)	The competent authority must publish on its website a list of certificates of approval provided to it in accordance with this section.
	3(3B)	The list referred to in subsection (3A) must -
		(a)	be kept up-to-date;
		(b)	retain items on it for a period of at least 12 months; and
		(c)	include hyperlinks to any certificate of approval and prospectus published on the website of -
			(i)	the competent authority of the EEA State which provided the certificate;
			(ii)	the issuer; or
			(iii)	the regulated market where admission to trading is sought.
	(4)	"Prospectus" includes a supplementary prospectus.

Provision of information to host Member State
87I	(1)	The [FCA] must, if requested to do so, supply the competent authority of a specified EEA State with –
		(a)	a certificate of approval;
		(b)	a copy of the specified prospectus (as approved by the [FCA]); and
		(c)	a translation of the summary of the specified prospectus (if the request states that one has been requested by the other competent authority).2
	(1A)2	If the competent authority supplies a certificate of approval to the competent authority of the specified EEA State, it must also supply a copy of that certificate to -
		(a)	the person who made the request under this section; and
		(b)	ESMA.
	(2)	Only the following may make a request under this section –
		(a)	the issuer of the transferable securities to which the specified prospectus relates;
		(b)	a person who wishes to offer the transferable securities to which the specified prospectus relates to the public in an EEA State other than (or as well as) the United Kingdom;
		(c)	a person requesting the admission of the transferable securities to which the specified prospectus relates to a regulated market situated or operating in an EEA State other than (or as well as) the United Kingdom.
	(3)	A certificate of approval must state that the prospectus –
		(a)	has been drawn up in accordance with this Part and the prospectus directive; and
		(b)	has been approved, in accordance with those provisions, by the [FCA].
	(4)	A certificate of approval must state whether (and, if so, why) the [FCA] authorised, in accordance with section 87B, the omission from the prospectus of information which would otherwise have been required to be included.
	(5)	The [FCA] must comply with a request under this section –
		(a)	if the prospectus has been approved before the request is made, within 3 working days beginning with the date the request is received2; or 2
		(b)	if the request is submitted with an application for the approval of the prospectus, on the first working day after the date on which it approves the prospectus.
	(6)	“Prospectus” includes a supplementary prospectus.
	(7)	“Specified” means specified in a request made for the purposes of this section.

SUP 3.4.4G21/06/2001

An auditor which a firm proposes to appoint should have skills, resources and experience commensurate with the nature, scale and complexity of the firm's business and the requirements and standards under the regulatory system to which it is subject. A firm should have regard to whether its proposed auditor has expertise in the relevant requirements and standards (which may involve access to UK expertise) and possesses or has access to appropriate specialist skill, for example

PERG 1.4.2G01/04/2013

Table: list of general guidance to be found in PERG.

Chapter:	Applicable to:	About:
PERG 2: Authorisation and regulated activities	an unauthorised person wishing to find out whether he needs to be authorised or exempt an authorised person wishing to know whether he needs to vary hisPart 4A permission	the regulatory scope of the Act the Regulated Activities Order the Exemption Order the Business Order
PERG 3A:8 Guidance on the scope of the Electronic Money Regulations 8 8 8	a person who needs to know whether a particular electronic payment product is8electronic money 8 and whether the person issuing it needs to be8 authorised or registered under the Electronic Money Regulations 8	the scope of the8Electronic Money Regulations 8
PERG 4: Regulated activities connected with mortgages	any person who needs to know whether the activities he conducts in relation to mortgages are subject to FCA regulation. This is likely to include: lenders administration service providers mortgage brokers and advisers	the scope of relevant orders (in particular, the Regulated Activities Order) as respects activities concerned with mortgages
PERG 5: Insurance mediation activities	any person who needs to know whether he carries on insurance mediation activities and is, thereby, subject to FCA regulation. This is likely to include: insurance brokers insurance advisers insurance undertakings other persons involved in the sale or administration of contracts of insurance, where these activities are secondary to their main business.	the scope of relevant orders (in particular, the Regulated Activities Order) as respects activities concerned with the sale or administration of insurance
PERG 6: Identification of contracts of insurance	any person who needs to know whether a contract with which he is involved is a contract of insurance	the general principles and range of specific factors that the FCA regards as relevant in deciding whether any arrangement is a contract of insurance
PERG 7: Periodical publications, news services and broadcasts: application for certification	any person who needs to know whether he will be regulated for providing advice about investments through the medium of a periodical publication, a broadcast or a news service	the circumstances in which such persons will be carrying on the regulated activities of advising on investments or advising on regulated mortgage contracts (including where a request for a certificate may be appropriate) how theFCA will exercise its power to grant certificates
PERG 8: Financial promotion and related activities	any person who needs to know whether his communications are financial promotions or are subject to the restriction in section 21 of the Act or both whether his activities in making or helping others to make financial promotions are regulated activities.	the scope of the restriction on financial promotion under section 21 of the Act and the main exemptions provided the circumstances in which persons who are primarily involved in making or helping others to make financial promotions may themselves be conducting regulated activities requiring authorisation or exemption
PERG 9: Meaning of open-ended investment company	any person who needs to know whether a body corporate is an open-ended investment company as defined in section 236 of the Act (Open-ended investment companies) and is therefore a collective investment scheme.	the circumstances in which a body corporate will be an open-ended investment company
PERG 10: Activities related to pension schemes	Any person who needs to know whether his activities in relation to pension schemes will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make.1 1	the regulated activities that arise in connection with the establishment and operation of pension schemes and any exclusions that may be relevant the circumstances in which financial promotions about pension schemes may be exempt from the restriction in section 21 of the Act 1
4PERG 11: Property investment clubs and land investment schemes	Any person who needs to know whether his activities in relation to property investment clubs and land investment schemes will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make.	the regulated activities that may arise in connection with the establishment and operation of property investment clubs and land investment schemes and any exclusions that may be relevant the extent to which the financial promotion restriction in section 21 of the Act applies
2PERG 12: Running or advising on personal pension schemes	any person who needs to know whether his activities in relation to establishing, running, advising on or marketing personal pension schemes will amount to regulated activities	the regulated activities that arise in connection with establishing, running, advising on or marketing personal pension schemes and any exclusions that may be relevant
3PERG 13: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive 5	Any UK person who needs to know whether MiFID or the recast CADas implemented in the UK apply to him5	the scope of MiFID and the recast CAD5
3PERG 14: Home reversion,7 home finance and regulated sale and rent back 7activities 7	Any person who needs to know whether his activities in relation to home reversion plans,7 home purchase plans or regulated sale and rent back agreements 7will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make. 7	the regulated activities that arise in connection with home reversion plans,7 home purchase plansand regulated sale and rent back agreements 7and any exclusions that may be relevant the circumstances in which financial promotions about home reversion plans,7home purchase plansand regulated sale and rent back agreements 7may be made without breaching the restriction in section 21 of the Act
6PERG 15: Guidance on the scope of the Payment Services Regulations 2009	Any person with an establishment in the UK who needs to know whether the Payment Services Directive, as transposed in UK legislation by the Payment Services Regulations 2009, applies to him. Q46 applies specifically to persons providing payment services from an establishment outside the EEA to persons located in the UK.	the scope of the PSD Regulations 2009.

Chapter:

Applicable to:

About:

PERG 2:

Authorisation and regulated activities

an unauthorised person wishing to find out whether he needs to be authorised or exempt
an authorised person wishing to know whether he needs to vary hisPart 4A permission

the regulatory scope of the Act
the Regulated Activities Order
the Exemption Order
the Business Order

PERG 3A:8

Guidance on the scope of the Electronic Money Regulations 8

8 8

a person who needs to know

whether a particular electronic payment product is8electronic money 8 and whether the person issuing it needs to be8 authorised or registered under the Electronic Money Regulations 8

the scope of the8Electronic Money Regulations 8

PERG 4:

Regulated activities connected with mortgages

any person who needs to know whether the activities he conducts in relation to mortgages are subject to FCA regulation. This is likely to include:

lenders
administration service providers
mortgage brokers and advisers

the scope of relevant orders (in particular, the Regulated Activities Order) as respects activities concerned with mortgages

PERG 5:

Insurance

mediation

activities

any person who needs to know whether he carries on insurance mediation activities and is, thereby, subject to FCA regulation. This is likely to include:

insurance brokers
insurance advisers
insurance undertakings
other persons involved in the sale or administration of contracts of insurance, where these activities are secondary to their main business.

the scope of relevant orders (in particular, the Regulated Activities Order) as respects activities concerned with the sale or administration of insurance

PERG 6:

Identification of contracts of insurance

any person who needs to know whether a contract with which he is involved is a contract of insurance

the general principles and range of specific factors that the FCA regards as relevant in deciding whether any arrangement is a contract of insurance

PERG 7:

Periodical publications, news services and broadcasts: application for certification

any person who needs to know whether he will be regulated for providing advice about investments through the medium of a periodical publication, a broadcast or a news service

the circumstances in which such persons will be carrying on the regulated activities of advising on investments or advising on regulated mortgage contracts (including where a request for a certificate may be appropriate)
how theFCA will exercise its power to grant certificates

PERG 8:

Financial promotion and related activities

any person who needs to know

whether his communications are financial promotions or are subject to the restriction in section 21 of the Act or both
whether his activities in making or helping others to make financial promotions are regulated activities.

the scope of the restriction on financial promotion under section 21 of the Act and the main exemptions provided
the circumstances in which persons who are primarily involved in making or helping others to make financial promotions may themselves be conducting regulated activities requiring authorisation or exemption

PERG 9:

Meaning of open-ended investment company

any person who needs to know whether a body corporate is an open-ended investment company as defined in section 236 of the Act (Open-ended investment companies) and is therefore a collective investment scheme.

the circumstances in which a body corporate will be an open-ended investment company

PERG 10:

Activities related to pension schemes

Any person who needs to know whether his activities in relation to pension schemes will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make.1

1

the regulated activities that arise in connection with the establishment and operation of pension schemes and any exclusions that may be relevant
the circumstances in which financial promotions about pension schemes may be exempt from the restriction in section 21 of the Act 1

4PERG 11:

Property investment clubs and land investment schemes

Any person who needs to know whether his activities in relation to property investment clubs and land investment schemes will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make.

the regulated activities that may arise in connection with the establishment and operation of property investment clubs and land investment schemes and any exclusions that may be relevant
the extent to which the financial promotion restriction in section 21 of the Act applies

2PERG 12:

Running or advising on personal pension schemes

any person who needs to know whether his activities in relation to establishing, running, advising on or marketing personal pension schemes will amount to regulated activities

the regulated activities that arise in connection with establishing, running, advising on or marketing personal pension schemes and any exclusions that may be relevant

3PERG 13:

Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive

5

Any UK person who needs to know whether MiFID or the recast CADas implemented in the UK apply to him5

the scope of MiFID and the recast CAD5

3PERG 14:

Home reversion,7 home finance and regulated sale and rent back 7activities

7

Any person who needs to know whether his activities in relation to home reversion plans,7 home purchase plans or regulated sale and rent back agreements 7will amount to regulated activities or whether the restriction in section 21 of the Act will apply to any financial promotions he may make.

7

the regulated activities that arise in connection with home reversion plans,7 home purchase plansand regulated sale and rent back agreements 7and any exclusions that may be relevant
the circumstances in which financial promotions about home reversion plans,7home purchase plansand regulated sale and rent back agreements 7may be made without breaching the restriction in section 21 of the Act

6PERG 15: Guidance on the scope of the Payment Services Regulations 2009

Any person with an establishment in the UK who needs to know whether the Payment Services Directive, as transposed in UK legislation by the Payment Services Regulations 2009, applies to him.

Q46 applies specifically to persons providing payment services from an establishment outside the EEA to persons located in the UK.

the scope of the PSD Regulations 2009.

SUP App 3.9.1G01/11/2007

The following Tables 1, 2, 2A and 2B1 provide an outline of the regulated activities and specified investments that may be of relevance to firms considering undertaking passported activities under the Banking Consolidation Directive, 1MiFID3, the UCITS Directive and the Insurance Mediation Directive.1 The tables may be of assistance to UK firms that are thinking of offering financial services in another EEA State and to EEA firms that may offer those services in the United K

LR 9.4.1R01/07/2005

(1) This rule applies to the following schemes of a listed company incorporated in the United Kingdom and of any of its major subsidiary undertaking (even if that major subsidiary undertaking is incorporated or operates overseas):(a) an employees' share scheme if the scheme involves or may involve the issue of new shares or the transfer of treasury shares; and(b) a long-term incentive scheme in which one or more directors of the listed company is eligible to participate.(2) The

BIPRU 3.7.2R01/01/2007

This table belongs to BIPRU 3.7.1 R

[Note: BCD Annex II]

Category	Item	Percentage
Full risk	Guarantees having the character of credit substitutes Credit derivatives Acceptances Endorsements on bills not bearing the name of another credit institution Transactions with recourse Irrevocable standby letters of credit having the character of credit substitutes Assets purchased under outright forward purchase agreements Forward deposits The unpaid portion of partly-paid shares and securities Asset sale and repurchase agreements as defined in Article 12(3) and (5) of the Bank Accounts Directive Other items also carrying full risk	100%
Medium risk	Documentary credits issued and confirmed (see also medium/low risk). Warranties and indemnities (including tender, performance, customs and tax bonds) and guarantees not having the character of credit substitutes. Irrevocable standby letters of credit not having the character of credit substitutes. Undrawn credit facilities (agreements to lend, purchase securities, provide guarantees or acceptance facilities) with an original maturity of more than one year. Note issuance facilities (NIFs) and revolving underwriting facilities (RUFs).	50%
Medium/low risk	Documentary credits in which underlying shipment acts as collateral and other self-liquidating transactions. Undrawn credit facilities (agreements to lend, purchase securities, provide guarantees or acceptance facilities) with an original maturity of up to and including one year which may not be cancelled unconditionally at any time without notice or that do not effectively provide for automatic cancellation due to deterioration in a borrower's creditworthiness.	20%
Low risk	Undrawn credit facilities (agreements to lend, purchase securities, provide guarantees or acceptance facilities) which may be cancelled unconditionally at any time without notice, or that do effectively provide for automatic cancellation due to deterioration in a borrower's creditworthiness. Retail credit lines may be considered as unconditionally cancellable if the terms permit the firm to cancel them to the full extent allowable under consumer protection and related legislation.	0%

COLL 7.1.1R01/07/2013

(1) 2This chapter applies to an ICVC, an ACD, any other director of an ICVC, a depositary of an ICVC, an authorised fund manager3 of an AUT or ACS3 and a depositary3 of an AUT or ACS3, where such AUT, ACS3 or ICVC is a UCITS scheme or a non-UCITS retail scheme in accordance with COLL 7.1.2 R (Table of application).33(2) COLL 7.7 (UCITS mergers) applies only to a domestic UCITS merger or a cross-border UCITS merger.2

REC 6.3.3G01/04/2013

The reference to recognition requirements in section 292(3)(a) of the Act is a reference to the requirements applicable to UK RIEs in the Recognition Requirements Regulations. These requirements are set out, together with guidance, in REC 2.3

BIPRU 3.2.29AG01/04/2013

(1) 2In relation to BIPRU 3.2.25 R (1)(ba), a subsidiary undertaking should generally be 100% owned and controlled by a single shareholder. However, if a subsidiary undertaking has more than one shareholder, that undertaking may be a member of the core UK group if all its shareholders are also members of the same core UK group. (2) For the purpose of BIPRU 3.2.25R (1)(d) (Incorporation in the UK), if a counterparty is of a type that falls within the scope of the Council Regulation

SYSC 10.1.1AR22/07/2013

6This section also applies to:(1) a full-scope UK AIFM of:(i) a UK AIF; (ii) an EEA AIF managed or marketed from an establishment in the UK; and(iii) a non-EEA AIF; and(2) an incoming EEA AIFM branch which manages or markets a UKAIF .

DTR 6.1.1R20/01/2007

(1) 1Subject to the exemptions set out in DTR 6.1.16 R - DTR 6.1.19 R this section applies in relation to an issuer whose Home State is the United Kingdom.(2) References to transferable securities, shares and debt securities are to such instruments as are admitted to trading.

BIPRU 3.5.5G01/12/2009

Table : Simplified method of calculating risk weights

This table belongs to BIPRU 3.5.4 G.

Exposure class	Exposure sub-class	Risk weights	Comments
Central government	Exposures to United Kingdom government or Bank of England in sterling	0%
	Exposures to United Kingdom government or Bank of England in the currency of another EEA State	0%	See Note 2.
	Exposures to EEA State's central government or central bank in currency of that state	0%
	Exposures to EEA State's central government or central bank in the currency of another EEA State	0%	See Notes 2 and 3.
	Exposures to central governments or central banks of certain countries outside the EEA in currency of that country	See next column	The risk weight is whatever it is under local law. See BIPRU 3.4.6 R for precise details.
	Exposures to European Central Bank	0%
	Other exposures	100%
Regional/local governments	Exposures to the Scottish Parliament, National Assembly for Wales and Northern Ireland Assembly in sterling	0%
	Exposures to the Scottish Parliament, National Assembly for Wales and Northern Ireland Assembly in the currency of another EEA State	0%	See Note 2.
	Exposures to EEA States' equivalent regional/local governments in currency of that state	0%	See BIPRU 3.4.17 R for details of type of local/regional government covered.
	Exposures to EEA States' equivalent regional/local governments in the currency of another EEA State	0%	See BIPRU 3.4.17 R for details of type of local/regional government covered. See Notes 2 and 3.
	Exposures to local or regional governments of certain countries outside the EEA in currency of that country	0%	See BIPRU 3.4.19 R for details of type of local/regional government covered. See Note 1.
	Exposures to United Kingdom or EEA States' local/regional government in currency of that state if the exposure has original effective maturity of 3 months or less	20%
	Exposures to United Kingdom or EEA States' local/regional government in the currency of another EEA State if the exposure has original effective maturity of 3 months or less	20%	See Note 2. See Note 3 for local/regional government of an EEA State other than the United Kingdom
	Exposures to local or regional governments of countries outside the EEA in currency of that country if the exposure has original effective maturity of 3 months or less	20%	See Note 1.
	Other exposures	100%
PSE	Exposures to a PSE of the United Kingdom or of an EEA State if that PSE is guaranteed by its central government and if the exposure is be in currency of that PSE's state.	0%	BIPRU 3.4.24 R describes the United Kingdom PSEs covered and BIPRU 3.4.25 R describes the EEA PSEs covered.
	Exposures to PSE of a country outside the EEA if that PSE is guaranteed by the country's central government and if the exposure is in currency of that country.	0%	See BIPRU 3.4.26 R and Note 1.
	Exposures to a PSE of the United Kingdom or of an EEA State in currency of that state if the exposure has original effective maturity of 3 months or less	20%
	Exposures to a PSEof the United Kingdom or of an EEA State in the currency of another EEA State if the exposure has original effective maturity of 3 months or less	20%	See Notes 2 and 3.
	Exposures to PSE of a country outside the EEA in currency of that country if the exposure has original effective maturity of 3 months or less	20%	See Note 1.
	Other exposures	100%
Multilateral development banks	Exposures to multilateral development banks listed in paragraph (1) of the Glossary definition	0%	Simplified approach does not apply. Normal rules apply.
Multilateral development banks	Other exposures	Various	Treated as an institution
EU 2, the International Monetary Fund and the Bank for International Settlements 2		0%	Simplified approach does not apply. Normal rules apply.
Institutions	Exposures to United Kingdom institution in sterling with original effective maturity of three months or less	20%
	Exposures to United Kingdom institution in the currency of another EEA State with original effective maturity of three months or less	20%	See Note 2.
	Exposures to institution whose head office is in another EEA State in the currency of that state with original effective maturity of three months or less	20%
	Exposures to institution whose head office is in another EEA State in the currency of another EEA State with original effective maturity of three months or less	20%	See Notes 2 and 3.
	Exposures to institution with a head office in a country outside the EEA in the currency of that country with original effective maturity of three months or less	20%	See Note 1.
	Exposures to United Kingdom institution in sterling with original effective maturity of over three months	50%
	Exposures to United Kingdom institution in the currency of another EEA State with original effective maturity of over three months	50%	See Note 2.
	Exposures to an EEA institution with a head office in another EEA State in the currency of that state with original effective maturity of over three 1months	50%
	Exposures to an EEA institution with a head office in another EEA State in the currency of another EEA State with original effective maturity of over three1 months	50%	See Notes 2 and 3.
	Exposures to institution with a head office in a country outside the EEA in the currency of that country with original effective maturity of over three1 months	50%	See Note 1.
	Other exposures	100%
Corporates		100%
Retail exposures		75%	Simplified approach does not apply. Normal rules apply.
Mortgages on residential or commercial property		Various	Simplified approach does not apply. Normal rules apply.
Past due items		Various	Simplified approach does not apply. Normal rules apply.
High risk items		150%	Simplified approach does not apply. Normal rules apply.
Covered bonds		Various	Risk weights are based on the risk weight of issuer as described in BIPRU 3.4.110 R. The risk weight of the issuer for this purpose should be calculated under the simplified approach.
Securitisation exposures		Generally 1250%. May look through to underlying exposures if BIPRU 9 allows.	Use the BIPRU 9rules for unrated exposures under the standardised approach
Short term exposures with rating			See BIPRU 3.4.112 R. Not applicable as uses ECAI ratings.
CIUs	May look through to underlying under BIPRU 3.4.123 R	Various	Simplified approach does not apply. Normal rules apply. May use simplified approach to underlying if simplified approach applies to underlying.
	May use average risk weight under BIPRU 3.4.124 R	Various	Simplified approach does not apply. Normal rules apply. May use simplified approach to underlyings if simplified approach applies to underlying.
	High risk under BIPRU 3.4.118 R	150%	Simplified approach does not apply. Normal rules apply.
	Others	100%
Other items under BIPRU 3.2.9 R (16)		Various	Simplified approach does not apply. Normal rules apply.
Note 1: The risk weight should not be lower than the risk weight that applies for national currency exposures of the central government of the third country in question under BIPRU 3.5. That means that this risk weight only applies if the third country is one of those to which BIPRU 3.4.6 R (Preferential risk weight for exposures of the central government of countries outside the EEA that apply equivalent prudential standards) applies.
Note 2: This is a transitional measure. It lasts until 31 December 2012.
Note 3: The risk weight should not be lower than the risk weight that applies for exposures of the central government of the EEA State in question in the currency of another EEA State under BIPRU 3.5.

ICOBS 3.1.1R06/01/2008

1This section applies to a firm that carries on any distance marketing activity from an establishment in the United Kingdom, with or for a consumer in the United Kingdom or another EEA State.

PERG 8.23.1G01/07/2005

Under section 19 of the Act (The general prohibition) no person may, by way of business, carry on a regulated activity in the United Kingdom unless he is authorised or exempt. The meaning of regulated activity is set out in Part II of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (the Regulated Activities Order) (as amended). Any person who breaches section 19 of the Act commits a criminal offence for which the maximum penalty is two years’ imprisonment

PERG 8.7.2G10/02/2011

Controlled activity and controlled investment are defined in Schedule 1 to the Financial Promotion Order and are listed in PERG 8.36.3 G and PERG 8.36.4 G. Broadly speaking, controlled activities and controlled investments are similar to regulated activities and specified investments under the Regulated Activities Order. However, with controlled activities, the exclusions set out in the Regulated Activities Order do not, in most cases, apply. It is important to note, however,

SYSC 14.1.2R31/12/2006

This section applies to:(1) an EEA-deposit insurer; and(2) a Swiss general insurer;only in respect of the activities of the firm carried on from a branch in the United Kingdom.

Related provisions for INSPRU 1.5.4

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