Related provisions for PERG 2.7.19
1 - 10 of 10 items.
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
(1) The Appointed Representatives Regulations are made by the Treasury under sections 39(1)18, (1C) and (1E)15 of the Act. These regulations describe, among other things, the business for which an appointed representative may be exempt or to which sections 20(1) and (1A) and 23(1A) of the Act may not apply15, which is business which comprises any of:(a) dealing in investments as agent (article 21 of the Regulated Activities Order) where the transaction relates to a pure protection
Table Controlled activities1.Accepting deposits2.Effecting and carrying out contracts of insurance3.Dealing in securities, structured deposits11 and contractually based investments4.Arranging deals in investments4A.4Operating a multilateral trading facility410104B.Credit broking104C.Operating an electronic system in relation to lending114D.Operating an organised trading facility5.Managing investments10105A.Debt adjusting105B.Debt counselling6.Safeguarding and administering investments7.Advising
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 Prospectus Regulation51) a communication with both of the following characteristics51:(a)relating to a specific offer to the public