Related provisions for PERG 8.17.4

21 - 34 of 34 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

PERG 8.36.3GRP

Table Controlled activities

1.

Accepting deposits

2.

Effecting and carrying out contracts of insurance

3.

Dealing in securities and contractually based investments

4.

Arranging deals in investments

4A.4

Operating a multilateral trading facility4

5.

Managing investments

6.

Safeguarding and administering investments

7.

Advising on investments

8.

Advising on syndicate participation at Lloyd's

9.

Providing funeral plan contracts

10.

Providing qualifying credit

11.3

3

Arranging qualifying credit etc

12.3

3

Advising on qualifying credit etc

313.

Providing a home reversion plan

314.

Arranging a home reversion plan

315.

Advising on a home reversion plan

316.

Providing a home purchase plan

317.

Arranging a home purchase plan

318.

Advising on a home purchase plan

19.3

3

Agreeing to do anything in 3 to 183 above

3
PERG 4.12.3GRP
An appointed representative can carry on only those regulated activities which are specified in the Appointed Representatives Regulations. As respects regulated mortgage contracts, these are arranging (bringing about), making arrangements with a view to and advising on regulated mortgage contracts (as well as agreeing to do so).
TC App 1.1.1RRP

1Activity

Products/Sectors

Is there an appropriate examinationrequirement?

Designated investment business carried on for a retail client

Providing basic advice

1.

Stakeholder products excluding a deposit-based stakeholder product

No

Advising

2.

Securities which are not stakeholder pension schemes or broker funds

Yes

3.

Derivatives

4.

Packaged products which are not broker funds

5.

Friendly Societylife policies where the employee is not reasonably expected to receive a remuneration of greater than £1000 a year in respect of such sales

6.

Friendly Society tax-exempt policies

7.

Long-term care insurance contracts

8.

Investments in the course of corporate finance business

9.

Advising on syndicate participation at Lloyd's

Undertaking the activity in column 2

10.

Broker fund adviser

Yes

11.

Pension transfer specialist

Advising and dealing

12.

Securities which are not stakeholder pension schemes or broker funds

Yes

13.

Derivatives

Managing

14.

Investments

Yes

Overseeing on a day-to-day basis

15.

Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme

Yes

16.

Safeguarding and administering investments or holding client money

17.

Administrative functions in relation to managing investments

18.

Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies

19.

Administrative functions in relation to the operation of stakeholder pension schemes

Regulated mortgage activity and reversion activity carried on for a customer

Advising

20.

Regulated mortgage contracts for a non-business purpose

Yes

21.

Equity release transactions

Designing scripted questions for non-advised sales

22.

Equity release transactions

Yes

Overseeing non-advised sales on a day-to-day basis

23.

Equity release transactions

Yes

Non-investment insurance business carried on for a consumer

Advising

24.

Non-investment insurance contracts

No

Notes:

1.

In the Appendix the heading and types of business specified in the headings are to be read in conjunction with the paragraphs appearing beneath them.

2.

Thus, for example, paragraph 24, under the final heading, refers only to advice on non-investment insurance contracts given to a consumer.