Related provisions for BIPRU 7.8.16

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

DTR 5.1.5RRP
(1) The following are to be disregarded for the purposes of determining whether a person has a notification obligation in accordance with the thresholds in DTR 5.1.2 R except at the thresholds of 5% and 10% and above:(a) voting rights attaching to shares forming part of property belonging to another which that person lawfully manages under an agreement in, or evidenced in, writing;(b) voting rights attaching to shares which may be exercisable by a person in his capacity as the
COBS 2.2.3RRP
3A firm, other than a venture capital firm, which is managing investments for a professional client that is not a natural person must disclose clearly on its website, or if it does not have a website in another accessible form:(1) the nature of its commitment to the Financial Reporting Council’s Stewardship Code; or(2) where it does not commit to the Code, its alternative investment strategy.
SUP 1A.3.7GRP
As many firms will not have dedicated, fixed portfolio resource, the first point of contact for many issues for such firms will be handled by the FCA's Supervision Hub2, with the aim being that fewer issues and queries will need to be referred to the supervisors. To support all firms the FCA will also provide regional workshops and road shows to clarify its expectations on these risks and issues that are particularly important to the FCA.
COLL 5.4.2GRP
(1) This section covers techniques relating to transferable securities and approved money-market instruments which are used for the purpose of efficient portfolio management. It3 permits the generation of additional income for the benefit of the authorised fund, and hence for its investors, by entry into stock lending transactions for the account of the authorised fund.(2) The specific method of stock lending permitted in this section is in fact not a transaction which is a loan
CASS 9.5.1GRP
(1) Firms to which COBS 16.4 applies are reminded that, under COBS 16.4, they are required to send to each of their clients at least once a year a statement in a durable medium of those designated investments and/or client money they hold for that client. A firm which manages investments may provide this statement in its periodic statement, as required under COBS 16.3.2(2) COBS 16.4 (Statements of client designated investments or client money) applies, in accordance with COBS
IPRU-INV 2.1.4RRP

This table belongs to IPRU-INV 2.1.1R

TYPE OF BUSINESS ACTIVITY

CHAPTER OF SOURCEBOOK

(i) managing investments other than for retail clients; or

Investment management firm - IPRU-INV 5

(ii) OPS activity; or

3

(iii) [deleted]

(iv) [deleted]

(iva) acting as trustee or depositary of a UK UCITS2; or

(ivb) managing an AIF; or

(ivc) acting as trustee or depositary of an AIF; or

(v) acting as a residual CIS operator; or

(va) establishing, operating or winding up a personal pension scheme; or

(vi) safeguarding and administering investments;

(i) advising on, or arrangingdeals in, packaged products; or

(ii) managing investments for retail clients;

Personal investment firm - IPRU-INV 13

(i) a regulated activity carried on as a member of an exchange; or

3

(ii) acting as a market maker in securities or derivatives; or

Securities and futures firm (which is not a MiFID investment firm) - IPRU-INV 3

(iii) corporate finance business; or

(iv) dealing or arranging deals in securities or derivatives, other than interprofessional investments; or

(v) the provision of clearing services as a clearing firm; or

(vi) spread betting;

COBS 16.4.4RRP
A firm which holds designated investments or client money and is managing investments for a client may include the statement under this section in the periodic statement it provides to that client.4
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 14, SYSC 18 to10SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or to 9SYSC 288 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 34437
COLL 11.6.13RRP
Where the authorised fund manager of a feeder UCITS gives notice to the FCA under section 251 or section 261Q1 of the Act or regulation 21 of the OEIC Regulations that it intends to wind up the scheme, it must inform:(1) the unitholders of the feeder UCITS; and(2) where notice is given under COLL 11.6.5R (4) (Application for approval by a feeder UCITS where a master UCITS merges or divides), the authorised fund manager of the master UCITS;of its intention without undue delay.[Note:
PERG 8.36.3GRP

Table Controlled activities

1.

Accepting deposits

2.

Effecting and carrying out contracts of insurance

3.

Dealing in securities, structured deposits11and contractually based investments

4.

Arranging deals in investments

4A.4

Operating a multilateral trading facility410

104B.

Credit broking

104C.

Operating an electronic system in relation to lending

114D.

Operating an organised trading facility

5.

Managing investments10

105A.

Debt adjusting

105B.

Debt counselling

6.

Safeguarding and administering investments

7.

Advising on investments

8.

Advising on syndicate participation at Lloyd's

9.

Providing funeral plan contracts

10.

Providing qualifying credit

11.3

3

Arranging qualifying credit etc

12.3

3

Advising on qualifying credit etc10

1012A.

Providing relevant consumer credit

1012B.

Providing consumer hire

313.

Providing a home reversion plan

314.

Arranging a home reversion plan

315.

Advising on a home reversion plan

316.

Providing a home purchase plan

317.

Arranging a home purchase plan

318.

Advising on a home purchase plan

718A.

Providing a regulated sale and rent back agreement

718B.

Arranging a regulated sale and rent back agreement

718C.

Advising on a regulated sale and rent back agreement

19.3

3

Agreeing to do anything in 3 to 18C7 above

37
COLL 5.5.3RRP
(1) Cash and near cash must not be retained in the scheme property except to the extent that this may reasonably be regarded as necessary in order to enable:(a) the pursuit of the scheme's investment objectives; or(b) redemption of units; or(c) efficient management of the authorised fund in accordance with its investment objectives; or(d) other purposes which may reasonably be regarded as ancillary to the investment objectives of the authorised fund.(2) During the period of the
SUP 10A.10.3GRP
The customer function has to do with giving advice on, dealing and arranging deals in and managing investments; it has no application to banking business such as deposit taking and lending, nor to general insurance business or credit-related regulated activity1.
COBS 14.3.1RRP
This section applies to a firm in relation to:(1) [deleted]8(2) any of8 the following regulated activities when carried on for a retail client:(a) making a personal recommendation about a designated investment6;5 or(b) managing investments that are designated investments (other than a P2P agreement);5 or(c) arranging (bringing about) or executing a deal in a warrant, non-readily realisable security4speculative illiquid security,12 or derivative; or(d) engaging in stock lending
COLL 6.9.9RRP
A UCITS management company must not engage in any activities other than:(1) [deleted]7(1A) managing a UK UCITS13;7(1B) managing an AIF;7(1C) acting as a residual CIS operator;7(2) activities for the purposes of or in connection with those in (1A), (1B) or (1C);77(3) collective portfolio management, including without limitation:(a) investment management;(b) administration:(i) legal and fund management accounting services;(ii) customer enquiries;(iii) valuation and pricing (including
SYSC 19B.1.17RRP
(1) Subject to the legal structure of the AIF and the instrument constituting the fund, an AIFM must ensure that a substantial portion, and in any event at least 50% of any variable remuneration, consists of units or shares of the AIF concerned, or equivalent ownership interests, or share-linked instruments or equivalent non-cash instruments. However, if the management of AIFs accounts for less than 50% of the total portfolio managed by the AIFM, the minimum of 50 % does not apply.(2)