Status: You are viewing the version of the handbook as on 2018-12-09.


      1. (1) an individual who:83
      1. (a) is appointed by a firm, or by an appointed representative of a firm, to carry on any of the following activities:2628
        1. (i) advising on investments;2628
        1. (ii)61 providing basic advice on stakeholder products61;28
        1. (iii) arranging (bringing about) deals in investments;2628
        1. (iv) dealing in investments; or2628
      1. (b) although not appointed to do so, carries on any of the activities in (i) to (iii) on behalf of a firm or its appointed representative .26128
      1. 83(2) (in IPRU(INV) 13 in relation to designated investment business) an individual appointed by a provider firm or by an appointed representative or tied agent of that firm to carry out either or both of the following activities:
        1. (a) giving advice on investments to customers on the merits of packaged products offered by that firm (or any other provider firm within the same marketing group); or
        1. (b) arranging (bringing about) deals in investments in relation to those products.
      1. (3) In (2), a provider firm is a firm that is:
        1. (a) a product provider; or
        1. (b) a marketing group associate.