Related provisions for PERG 2.5.1-A

PERG 2.7.21G28/02/2014

Agreeing to carry on most regulated activities is itself a regulated activity. But this is not the case if the underlying activities to which the agreement relates are those of accepting deposits, issuing electronic money,10effecting or carrying out contracts of insurance, operating a multilateral trading facility, managing dormant account funds, the meeting of repayment claims75, managing a UCITS, acting as depositary or trustee of a UCITS, managing an AIF, acting as trustee

DISP 2.8.10G29/08/2017

713Where a complaint meets the requirements of DISP 2.8.9R(2)(d), those parts of the complaint that relate to the grounds of rejection of the claim are not subject to the restriction in DISP 2.8.9R(1) on an Ombudsman considering the complaint.

SUP 16.12.4R01/07/2017

Table of applicable rules containing data items 4, frequency and submission periods

(1)		(2)	(3)	(4)
RAGnumber	Regulated Activities	Provisions containing:
RAGnumber	Regulated Activities	applicabledata items	reporting frequency/ period	due date32 32
	27 12 12	37
RAG 1	• accepting deposits • meeting of repayment claims 76 managing dormant account funds (including the investment of such funds)76	RAG 1 firms should complete their prudential reporting requirements as set out in the PRA Rulebook.76
RAG 2.1	• effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract	71 2	71 2	71 2
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	SUP 16.12.9 R2	SUP 16.12.9 R2	SUP 16.12.9 R2
RAG 3	• dealing in investment as principal • dealing in investments as agent • advising on investments (except P2P agreements) 67 (excluding retail investment activities) • arranging (bringing about) deals in investments (excluding retail investment activities) • advising on P2P agreements (when carried on exclusively with or for professional clients)67	SUP 16.12.10 R2 SUP 16.12.11 R or SUP 16.12.11B R for UK designated investment firms 37except FSA001 and FSA002 on consolidated basis for FINREP firms 37	SUP 16.12.10 R2SUP 16.12.12 R or SUP 16.12.12A R for UK designated investment firms 37	SUP 16.12.10 R2SUP 16.12.13 R
RAG 4	• managing investments • establishing, operating or winding up a collective investment scheme • establishing, operating or winding up a stakeholder pension scheme • establishing, operating or winding up a personal pension scheme2 • managing an AIF 38 • managing a UCITS 38 5 • operating an electronic system in relation to lending (FCA-authorised persons only)48 38 38	SUP 16.12.14 R2 SUP 16.12.15 R or SUP 16.12.15B R for UK designated investment firms 37, except FSA001 and FSA002 on consolidated basis for FINREP firms 37	SUP 16.12.14 R2SUP 16.12.16 R or SUP 16.12.16A R for UK designated investment firm 37	SUP 16.12.14 R2SUP 16.12.17 R
RAG 5	• home finance administration or home finance providing activity 11 11	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58
RAG 6	• safeguarding and administration of assets (without arranging) • arranging safeguarding and administration of assets • acting as trustee or depositary of an AIF 38 • acting as trustee or depositary of a UCITS 38 38 40 38	SUP 16.12.19A R2	SUP 16.12.20 R2	SUP 16.12.21 R2
RAG 7	• retail investment activities • advising on P2P agreements (except when carried on exclusively with or for professional clients)67 • advising on pensions transfers & opt-outs • arranging (bringing about deals) in retail investments	SUP 16.12.22A R or SUP 16.12.22C R for UK designated investment firms 37, except FSA001 and FSA002 on consolidated basis for FINREP firms 37	SUP 16.12.23A R and37SUP 16.12.23 R for UK designated investment firms 37	SUP 16.12.24 R
RAG 8	• making arrangements with a view to transactions in investments • operating a multilateral trading facility4	SUP 16.12.25A R or SUP 16.12.25C R for UK designated investment firms 37except FSA001 and FSA002 on consolidated basis for FINREP firm 37	SUP 16.12.26 R	SUP 16.12.27 R
RAG 9	• home finance mediation activity 14 • insurance mediation activity (non-investment insurance contracts) 14	SUP 16.12.28A R14	SUP 16.12.28A R14	SUP 16.12.28A R14
RAG 10	• the activities of an RIE 97 97	SUP 16.12.29 G2	SUP 16.12.29 G2	SUP 16.12.29 G2 32
32 RAG 11	bidding in emissions auctions	SUP 16.12.29A R	SUP 16.12.29A R	SUP 16.12.29A R
47 RAG 12 71	• credit-related regulated activity	SUP 16.12.29C R	SUP 16.12.29C R	SUP 16.12.29C R

Related provisions for PERG 2.5.1-A

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