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DISP 2 Annex 1 21421422Regulated activities for the Voluntary Jurisdiction at 24 April 201522

This table belongs to DISP 2.5.1 R17

G

The activities which were covered by the Compulsory Jurisdiction (at 24 April 201522) were:19

32032022
  1. (1) for firms:

    1. (a) regulated activities (other than auction regulated bidding);

    2. (b) payment services;

    3. [deleted]320

    4. (d) lending money secured by a charge on land;

    5. (e) lending money (excluding restricted credit where that is not a credit-related regulated activity);320

      320
    6. (f) paying money by a plastic card (excluding a store card where that is not a credit-related regulated activity);320

      320
    7. (g) providing ancillary banking services;

    8. 22(h) [deleted]5

      5
    19
  2. (2) for payment service providers:

    1. (a) payment services;

    2. (b) credit-related regulated activities;320

      320

    or any ancillary activities, including advice, carried on by the payment service provider in connection with them.19

  3. (3) for electronic money issuers:

    1. (a) issuance of electronic money;

      320
    2. (b) credit-related regulated activities;320

      320

    or any ancillary activities, including advice, carried on by the electronic money issuer in connection with them19

116The activities which (at 24 April 2015)22 were regulated activities 17 were, in accordance with section 22 of the Act (The classes of activity and categories of investment), any of the following activities specified in Part II of the Regulated Activities Order:

172183202142142219
  1. (1) accepting deposits (article 5);

  2. (2) issuing electronic money (article 9B);

  3. (3) effecting contracts of insurance (article 10(1));

  4. (4) carrying out contracts of insurance (article 10(2));

  5. (5) dealing in investments as principal (article 14);

  6. (6) dealing in investments as agent (article 21);

  7. (7) arranging (bringing about) deals in investments (article 25(1));

  8. (8) making arrangements with a view to transactions in investments (article 25(2));

  9. (9) arranging (bringing about) regulated mortgage contracts (article 25A(1));

  10. (10) making arrangements with a view to regulated mortgage contracts (article 25A(2));

  11. (11) arranging (bringing about) a home reversion plan (article 25B(1));

  12. (12) making arrangements with a view to a home reversion plan (article 25B(2));

  13. (13) arranging (bringing about) a home purchase plan (article 25C(1));

  14. (14) making arrangements with a view to a home purchase plan (article 25C(2));

  15. 17(14A) operating a multilateral trading facility (article 25D);

  16. (14B) arranging (bringing about) a regulated sale and rent back agreement (article 25E(1));

  17. (14C) making arrangements with a view to a regulated sale and rent back agreement (article 25E(2));

  18. (14D) credit broking (article 36A);320

  19. (14E) operating an electronic system in relation to lending (article 36H);320

  20. (15) managing investments (article 37);

  21. (16) assisting in the administration and performance of a contract of insurance (article 39A);

  22. (16A) debt adjusting (article 39D(1) and (2));320

  23. (16B) debt counselling (article 39E(1) and (2));320

  24. (16C) debt collecting (article 39F(1) and (2));320

  25. (16D) debt administration (article 39G(1) and (2));320

  26. (17) safeguarding and administering investments (article 40);

  27. (18) sending dematerialised instructions (article 45(1));

  28. (19) causing dematerialised instructions to be sent (article 45(2));

  29. 214
  30. 214
  31. 214
  32. 214
  33. (22A) managing a UCITS (article 51ZA);19

  34. (22B) acting as a trustee or depositary of a UCITS (article 51ZB);19

  35. (22C) managing an AIF (article 51ZC);19

  36. (22D) acting as a trustee or depositary of an AIF (article 51ZD);19

  37. (22E) establishing, operating or winding up a collective investment scheme (article 51ZE);19

  38. (23) establishing, operating or winding up a stakeholder pension scheme (article 52(a));

  39. (24) providing basic advice on a stakeholder product (article 52B);

  40. (25) establishing, operating or winding up a personal pension scheme (article 52(b));

  41. (26) advising on investments (article 53);

  42. (27) advising on regulated mortgage contracts (article 53A);

  43. (28) advising on a home reversion plan (article 53B);

  44. (29) advising on a home purchase plan (article 53C);

  45. 17(29A) advising on a regulated sale and rent back agreement (article 53D);

  46. (29B) advising on conversion or transfer of pension benefits (article 53E);5

  47. (30) advising on syndicate participation at Lloyd's (article 56);

  48. (31) managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's (article 57);

  49. (32) arranging deals in contracts of insurance written at Lloyd's (article 58);

  50. (32A) entering into a regulated credit agreement (article 60B(1));320

  51. (32B) exercising, or having the right to exercise, rights and duties under a regulated credit agreement (article 60(B)(2);320

  52. (32C) entering into a regulated consumer hire agreement (article 60N(1));320

  53. (32D) exercising, or having the right to exercise rights and duties under a regulated consumer hire agreement (article 60N(2));320

  54. (33) entering into a regulated mortgage contract (article 61(1));

  55. (34) administering a regulated mortgage contract (article 61(2));

  56. (35) entering into a home reversion plan (article 63B(1));

  57. (36) administering a home reversion plan (article 63B(2));

  58. (37) entering into a home purchase plan (article 63F(1));

  59. (38) administering a home purchase plan (article 63F(2));

  60. 17(38A) entering into a regulated sale and rent back agreement (article 63J(1));

  61. (38B) administering a regulated sale and rent back agreement (article 63J(2));

  62. (38C) meeting of repayment claims (article 63N(1)(a));19

  63. (38D) managing dormant account funds (including the investment of such funds) (article 63N(1)(b));19

  64. (38E) providing information in relation to a specified benchmark (article 63O(1)(a));19

  65. (38F) administering a specified benchmark (article 63O(1)(b));19

  66. (39) entering as provider into a funeral plan contract (article 59);

  67. (40) agreeing to carry on a regulated activity (article 64);

  68. (40A) providing credit information services (article 89A);320

  69. (40B) providing credit references (article 89B);320

which is carried on by way of business and relates to a specified investment applicable to that activity or, in the case of (22) , (22A), (22B), (22C), (22D), (22E) 214and (23), is carried on in relation to property of any kind or, in the case of (40A) or (40B) relates to information about a person's financial standing.320

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