Status: You are viewing the version of the handbook as on 2011-04-29.

arranging (bringing about) deals in investments

    13the regulated activity, specified in article 25(1) of the Regulated Activities Order, which is in summary: making arrangements for another person (whether as principal or agent) to buy, sell, subscribe for or underwrite a particular investment which is:

      1. (a) a designated investment; or
      1. (b) a funeral plan contract; or
      1. (c) the underwriting capacity of a Lloyd's syndicate; or
      1. (d) membership of a Lloyd's syndicate; or
      1. (da) a pure protection contract; or10
      1. (db) a general insurance contract; or10
      1. (e) rights to or interests in investments in (b), (c) or (d).