Related provisions for PERG 8.34.2

PERG 5.6.18G01/04/2013

The effect of PERG 5.6.17G (4) is that some persons who, in making introductions, are making arrangements with a view to transactions in investments under article 25(2) of the Regulated Activities Order, cannot use the introducing exclusion. This is if, in general terms, the arrangements for making introductions relate to contracts of insurance (PERG 5.6.19 G has further guidance on when arrangements for introductions may be regarded as relating to contracts of insurance). However,

FEES 4.4.9D01/04/2013

3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444

SUP 16.12.4R13/04/2018

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 R78except FSA001 and FSA002 on consolidated basis for FINREP firms 37 37	SUP 16.12.10 R2SUP 16.12.12 R78 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 R78, except FSA001 and FSA002 on consolidated basis for FINREP firms 37 37	SUP 16.12.14 R2SUP 16.12.16 R78 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 R78except FSA001 and FSA002 on consolidated basis for FINREP firms 37 37	SUP 16.12.23A R78 37 37	SUP 16.12.24AR78
RAG 8	• making arrangements with a view to transactions in investments • operating a multilateral trading facility4 • operating an organised trading facility35	SUP 16.12.25AR or SUP 16.12.25CR for UK designated investment firms except80 FSA001 and FSA002 on consolidated basis for FINREP firms 80 37 78 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

FEES 6.7.6R01/04/2018

If a firm ceases to be a participant firm or carry out activities within one or more classes54 part way through a financial year6 of the compensation scheme:44(1) it will remain liable for any unpaid levies which the FSCS has already made on the firm; and41(2) the FSCS may make one or more levies4 upon it (which may be before or after the firm5 has ceased to be a participant firm or carry out activities within one or more classes5,4 but must be before it ceases to be an authorised

Related provisions for PERG 8.34.2

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