Search Result
M2G 2.1 Background
As Published: 2017
…ions imposed under article 3 MiFID II, so as to be exempt from the Directive’s full application. See PERG 13 Q49 …CMCOB 1.2 Who? What? Where?
As Published: 2019
…itain whether or not they are carried on from an establishment maintained in the United Kingdom (see PERG 2.4A …MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
As Published: 2017
…nt to performing the activity of making arrangements with a view to transactions in investments (see PERG 2.7.7BG …CONC 1.2 Who? What? Where?
As Published: 2014
… for the earlier adoption of MCOB ). For detailed guidance on the regulation of secured lending, see PERG 4 …MCOB 4.7A Advised sales
As Published: 2012
… the requirements of the various exceptions in MCOB 4.8A 6 are satisfied. Firms may wish to refer to …DISP 1.1 Purpose and application
As Published: 2001
… 30 30 (3) carried on in Great Britain , in respect of regulated claims management activities , (see PERG 2.4A …CONC 12.1 Application and purpose
As Published: 2013
…as an interim permission that is treated as a variation of permission. 3 Perimeter Guidance manual ( …COLL 6.2 Dealing
As Published: 2005
…n COLL 6.2.19 R should be considered, for AUTs and ACSs 7 as well as for ICVCs , in conjunction with PERG 9 …COLLG-2009.pdf
As Published: 2009
…dance for persons considering carrying on regulated activities in the United Kingdom can be found in PERG. The FSA website “How do I get authorised” http://www.fsa.gov.uk/Pages/Doing/how/index.shtml gives …COBS 4.12B Promotion of non-mass market investments
As Published: 2022
…ff promotion exemptions permit the promotion of investments to clients under certain conditions (see PERG 8.14.3G …MCOB 1.2 General application: who? what?
As Published: 2005
…racts (see MCOB 1.2.3 R to MCOB 1.2.9 G ). A single firm may fall into more than one of these types. …MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements
As Published: 2006
…ing regulated by the FCA (or an exempt person ) if the person does not do so by way of business (see …DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
As Published: 2005
…vity and would be covered by the Compulsory Jurisdiction if it were carried on in Great Britain (see PERG 2.4A …PROF 2.1 Designated professional bodies and exempt regulated activities
As Published: 2007
…ed Kingdom ', exempt professional firms are referred to section 418 of the Act and the guidance in 2 PERG 2.4 …COBS 19.1 Pension transfers, conversions, and opt-outs
As Published: 2007
… transfer or pension conversion or not. 5 7 Triage services COBS 19.1.11 G 01/01/2019 9 The table in PERG 12 Annex 1G …FUND 10.5 National private placement
As Published: 2014
…e on marketing an AIF FUND 10.5.12 G 22/07/2013 Further guidance on marketing an AIF can be found in PERG 8.37 …CMCOB 6.2 Fees and fee collection
As Published: 2019
…n extended period of time to pay fees and charges later than the date on which they are payable (see PERG 2.7.19AG …COLLG 1A.1 Introduction
As Published: 2012
…dance for persons considering carrying on regulated activities in the United Kingdom can be found in …Non-legal changes document 2015
As Published: 2015
…t unit; or (ii) the person who is entered on the register of the scheme as the holder of that unit.” PERG 13.1 …FUND 1.3 Types of fund manager
As Published: 2013
…) A full-scope UK AIFM must be either: (a) an external AIFM ; or (b) an internally managed AIF . (3) PERG 16, question 3.6 provides guidance on where an …