Related provisions for PERG 2.7.19

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PERG 2.8.4GRP
The regulated activity of dealing in investments as principal applies to specified transactions relating to any security or to any contractually based investment (apart from rights under funeral plan contracts or rights to or interests in such contracts). The activity is cut back by exclusions as follows.(1) Of particular significance is the exclusion in article 15 of the Regulated Activities Order (Absence of holding out etc). This applies where dealing in investments as principal
SUP 12.2.7GRP
(1) The Appointed Representatives Regulations are made by the Treasury under sections 39(1)18, (1C) and (1E)15 of the Act. These regulations describe, among other things, the business for which an appointed representative may be exempt or to which sections 20(1) and (1A) and 23(1A) of the Act may not apply15, which is business which comprises any of:(a) dealing in investments as agent (article 21 of the Regulated Activities Order) where the transaction relates to:26553(i) 26a
PERG 8.36.3GRP

Table Controlled activities

1.

Accepting deposits

2.

Effecting and carrying out contracts of insurance

3.

Dealing in securities, structured deposits11, qualifying cryptoassets14and 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.

Entering into13 funeral plan contracts

9A.

Carrying out funeral plan contracts13

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