Regulated activity
|
Specified investment in relation to which the regulated activity (in the corresponding section of column one) may be carried on
|
|
(a) [deleted]25
25
|
25
|
Issuing electronic money
|
(aa) issuing electronic money (article 9B)
|
electronic money (article 74A)
|
8
Activities of a dormant account fund operator
|
8(ab) the meeting of repayment claims and managing dormant account funds (including the investment of such funds) (article 63N)
|
See Note 8 to Table 111
|
11
Bidding in emissions auctions
|
11(ac) bidding in emissions auctions
|
emissions auction products
|
25
|
(b) [deleted]25
(c) [deleted]25
25
25
|
25
|
Designated investment business [see notes 1A, 1B and 1C to Table 1]
11
11
|
(d) dealing in investments as principal (article 14) [see note 2 to Table 1]
(e) dealing in investments as agent (article 21) [see notes 1B and 2 to Table 1]
(f) arranging (bringing about) deals in investments (article 25(1)) [see note 1B to Table 1] [also see Sections of Table 1 headed 'The Lloyd's market' and 'Regulated mortgage activity']
(g) making arrangements with a view to transactions in investments (article 25(2)) [ see note 1B to Table 1] [also see Sections of Table 1 headed 'The Lloyd's market
' and 'Regulated mortgage activity']
|
(in relation to (d) to (g) and (h) to6 (l)) security [expanded in Table 3]; or
contractually based investment [expanded in Table 3].6
(in relation to (e) to (g) and (j) only) a long-term care insurance contract which is a pure protection contract.
6
|
6(ga) operating a multilateral trading facility (article 25D) [see note 2A]
|
6
securities or contractually based investments which are financial instruments (see PERG 13 Annex 2 G Table 2 and note 2A to Table 1]).
|
6(h) managing investments (article 37) [see note 3 to Table 1]
|
|
(i) safeguarding and administering investments (article 40) [see note 3 Table 1]
For the purposes of the permission regime, this regulated activity is subdivided into:
(j) advising on investments (except P2P agreements)18 (article 53(1)18 [see note 1B to Table 1] [also see Section of Table 1 headed 'Regulated mortgage activity']
For the purposes of the permission regime, this regulated activity:
16(ja) advising on P2P agreements (article 53(2)) [see note 9 to Table 1]18
(jb) advising on conversion or transfer of pension benefits (article 53E) is contained in the permission of advising on pension transfers and pension opt-outs [see note 4 to Table 1]18
(k) sending dematerialised instructions (article 45(1))
(l) causing dematerialised instructions to be sent (article 45(2))
2
|
|
(m) [deleted]14
(ma)
managing a UCITS
(article 51ZA);14
(mb) acting as trustee or depositary of a UCITS (article 51ZB);14
(mc) managing an AIF (article 51ZC);
For the purposes of the permission regime, this regulated activity is subdivided into:
(i) managing an AIF where the AIF is an authorised AIF; and
(ii) managing an AIF where the AIF is an unauthorised AIF.14
(md) acting as trustee or depositary of an AIF (article 51ZD);
For the purposes of the permission regime, this regulated activity is subdivided into:
(i) acting as trustee or depositary of an AIF where the AIF is an authorised AIF; and
(ii) acting as trustee or depositary of an AIF where the AIF is an unauthorised AIF.14
(me) establishing, operating or winding up a collective investment scheme (article 51ZE);14
(n) [deleted]14
(na) [deleted]14
(o) [deleted]14
(p) establishing, operating or winding up a stakeholder pension scheme (article 52(a)3)
14
12
14
14
|
[see note 5 to Table 1]
|
(pa2) providing basic advice on a stakeholder product (article 52B)
(p-a) establishing, operating or winding up a personal pension scheme (article 52(b))3
2
|
those specified investments that are also a stakeholder product [see note 7]
|
Insurance
mediation
activity [see note 5A to Table 1]
|
(pb2) dealing in investments as agent (article 21)
(pc2) arranging (bringing about) deals in investments (article 25(1))
(pd2) making arrangements with a view to transactions in investments (article 25(2))
(pe2) assisting in the administration and performance of a contract of insurance (article 39A)
(pf2) advising on investments (except P2P agreements)18 (article 53(1)18)
For the purpose of the permission regime, this regulated activity is sub-divided into:
2
2
2
2
2
|
life policy [see note 5B to Table 1]
non-investment insurance contract [see note 5C to Table 1]2
rights to or interests in investments (article 89) in so far as they relate to a life policy
2
2
|
The Lloyd's market
25
|
(q) advising on syndicate participation at Lloyd's (article 56)
|
membership of a Lloyd's syndicate (article 86(2))
|
(r) [deleted]25
25
|
25
|
(s) arranging (bringing about) deals in investments (article 25(1))
(t) making arrangements with a view to transactions in investments (article 25(2))
|
underwriting capacity of a Lloyd's syndicate (article 86(1))
membership of a Lloyd's syndicate (article 86(2))
rights to or interests in investments (article 89) in so far as they relate to underwriting capacity of a Lloyd's syndicate or membership of a Lloyd's syndicate
|
Funeral plan providers
|
(u) entering as provider into a funeral plan contract (article 59) [see note 1A to Table 1]
|
funeral plan contract (article 87)
|
Regulated
home finance
4
activity
4
|
(v) arranging (bringing about) regulated mortgage contracts (article 25A(1)4 and (2A)15)
(w) making arrangements with a view to regulated mortgage contracts (article 25A(2)4)
(x) advising on regulated mortgage contracts (article 53A)
(xa) [deleted]17
(y) entering into a regulated mortgage contract (article 61(1))
(z) administering a regulated mortgage contract (article 61(2))
4
4
15
|
regulated mortgage contract (article 88)17
15
|
4(za) arranging (bringing about) a home reversion plan (article 25B(1))
(zb) making arrangements with a view to a home reversion plan (article 25B(2))
(zc) advising on a home reversion plan (article 53B)
(zd) entering into a home reversion plan (article 63B(1))
(ze) administering a home reversion plan (article 63B(2))
|
rights under a home reversion plan (article 88A)
|
4(zf) arranging (bringing about) a home purchase plan (article 25C(1))
(zg) making arrangements with a view to a home purchase plan (article 25C(2))
(zh) advising on a home purchase plan (article 53C)
(zi) entering into a home purchase plan (article 63F(1))
(zj) administering a home purchase plan (article 63F(2))
|
rights under a home purchase plan (article 88B)
|
(zk) arranging (bringing about) a regulated sale and rent back agreement (article 25E(1))9
(zl) making arrangements with a view to a regulated sale and rent back agreement (article 25E(2))9
(zm) |