Related provisions for CONC 4.3.1
41 - 47 of 47 items.
This section applies to: (1) a firm with respect to providing credit information services in relation to information relevant to the financial standing of an individual;(2) a firm with respect to the activities set out in article 36H(3)(e) to (h) of the Regulated Activities Order (Operating an electronic system in relation to lending) in relation to a borrower under a P2P agreement.
6This exemption does not apply to any financial promotion that is made with a view to, or for the purpose of, an introduction to a person who carries on the controlled activities of:(1) credit broking;(2) operating an electronic system in relation to lending; or(3) agreeing to carry on the above activities.
(1) 9An activity of a kind specified below is excluded from the regulated activity of operating an electronic system in relation to lending.(a) dealing in investments as principal;(b) arranging (bringing about) deals in investments;(c) making arrangements with a view to transactions in investments;(d) managing investments; (e) advising on investments.(2) The exclusion for electronic commerce activities by an incoming ECA provider (see PERG 2.9.18 G) also applies to the regulated