Content Options:

Content Options

View Options:


You are viewing the version of the document as on 2021-07-01.

SMCR financial activities

    174any of the following:

    (a) regulated activities;

    (b) an activity carried on in connection with a regulated activity (whether current, past or contemplated);

    (c) an activity held out as being for the purposes of a regulated activity (whether current, past or contemplated);

    (d) activities that constitute dealing in investments as principal, disregarding the exclusion in article 15 of the Regulated Activities Order (Absence of holding out etc); or

    (e) activities listed in points 2 to 15 of the list of Annex 1 activities180.