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

advising on investments


      1. (1) (except in SUP 10A (Approved Persons),169143 APER and CONRED 2169143) the regulated activities131, specified in article 53(1) to (1D)169143 and article169143 53(2)131 of the Regulated Activities Order (Advising on investments), which are131:
        1. (a) advising on investments (except P2P agreements); and131
        1. (b) advising on P2P agreements.131
      1. (2) (in SUP 10A (Approved Persons) and APER) the regulated activities131 specified in 131article 53(1) to (1D)169143 and article 53(2)169143 (Advising on investments) of the Regulated Activities Order. For these purposes, advising on investments includes any activities that would be included but for the exclusion in article 72AA (Managers of UCITS and AIFs) of the Regulated Activities Order.
      1. (3) (in CONRED 2) has the meaning in force on 1 April 2013.169143