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Status: You are viewing the version of the handbook as on 2018-12-10.

PERG 8.35 Authorisation and exemption

PERG 8.35.1GRP

Any person who is contemplating carrying on the regulated activities of advising on investments or making arrangements with a view to transactions in investments by way of business will need authorisation or exemption. Exemption would usually be obtained by a person entering into an agreement with an authorised person under section 39 of the Act and the Financial Services and Markets Act 2000 (Appointed Representative) Regulations 2001.

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