Related provisions for PERG 2.6.14

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

9(1) There are two specified investments relating to the scheme for greenhouse gas emission allowance trading within the EU:16(a) the first kind comprises emission allowances that are auctioned as financial instruments or two-day emissions spots (together, emissions auction products); and16(b) the second kind is an emission allowance itself, subject to (2)).16(2) An emission allowance is only a specified investment under (1)(b) if PERG 2.5.7G (Wider definition of certain specified
PERG 2.6.20GRP
The specified investment category of options comprises:444(1) 4options to acquire or dispose of securities or contractually based investments, currency and certain precious metals and options to acquire or dispose of such options. Options to buy or sell other types of commodity will only fall within this specified investment category if they are options to buy or sellfutures, or options to buy or sellcontracts for differences, which are based on other commodities. But options
PERG 8.12.26GRP
Provided the conditions in PERG 8.12.25 G are met, the exemption in article 20 applies to any non-real time financial promotion. However, there is an additional condition where the subject matter of the financial promotion is shares or options, futures or contracts for differences relating to shares and the financial promotion identifies directly a person who issues or provides such an investment. In such cases, the exemption is subject to a disclosure requirement which is itself
PERG 8.12.33GRP
The main purpose of the exemption appears to be to guard against the possibility that, during the course of a broadcast interview or a live website presentation, a financial promotion is made inadvertently by a director or employee of a company or other business undertaking when he is not acting in the capacity of a journalist (see PERG 8.12.25 G). The exemption applies if the financial promotion relates only to:(1) shares of the undertaking or of another undertaking in the same
7PERG 2.5.7G only applies to the following specified investments:(1) an emission allowance (see PERG 2.6.19DG for more details);(2) an option (see PERG 2.6.20G for more details); (3) a future (see PERG 2.6.22AG for more details); (4) a credit derivative treated as a contract for differences (see PERG 2.6.23G for more details); and(5) a binary or fixed outcomes derivative treated as a contract for differences (see PERG 2.6.24AG for more details, which also explains that in certain
PERG 8.36.4GRP
Table Controlled investments1.A deposit.2.Rights under a contract of insurance.3.Shares etc.4Instruments creating or acknowledging indebtedness (referred to in the Glossary as debentures and alternative debentures).95.Government and public securities.6.Instruments giving entitlement to investments (referred to in the Glossary as warrants).7.Certificates representing certain securities.8.Units in a collective investment scheme.9.Rights under a stakeholder pension scheme or a personal
LR App 1.1.1RP
1Note: The following definitions relevant to the listing rules are extracted from the Glossary.ActThe Financial Services and Markets Act 2000.admission or admission to listing admission of securities to the official list .admission to tradingadmission of securities to trading on an RIE's market for listedsecurities.advertisement(as defined in the PD Regulation) announcements:(a)relating to a specific offer to the public of securities or to an admission to trading on a regulated
The regulated activity of dealing in investments as principal applies to specified transactions relating to any security or to any contractually based investment (apart from rights under funeral plan contracts or rights to or interests in such contracts). The activity is cut back by exclusions as follows.(1) Of particular significance is the exclusion in article 15 of the Regulated Activities Order (Absence of holding out etc). This applies where dealing in investments as principal