Related provisions for PERG 2.9.7

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PERG 2.9.9GRP
This group of exclusions applies, in specified circumstances, to the regulated activities of:(1) dealing in investments as principal;(2) dealing in investments as agent;(3) arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments;(4) managing investments;(5) safeguarding and administering investments;(6) sending dematerialised instructions; and(7) advising on investments.
PERG 2.9.15GRP
This group of exclusions applies, in specified circumstances, to the regulated activities of:(1) dealing in investments as principal;(2) dealing in investments as agent;(3) arranging (bringing about) deals in investments and4making arrangements with a view to transactions in investments;4(3A) arranging a home finance transaction;4(3B) 5operating a multilateral trading facility;(3C) operating an organised trading facility;18(4) advising on investments;(5) entering into a home finance
PERG 2.9.25GRP
12This group of exclusions applies, in specified circumstances, to the regulated activities of:(1) dealing in investments as principal;(2) dealing in investments as agent;(3) arranging (bringing about) deals in investments;(4) making arrangements with a view to transactions in investments;(5) operating a multilateral trading facility;(5A) operating an organised trading facility;18(6) managing investments;(7) assisting in the administration and performance of a contract of insurance;(8)
FEES 4.4.9DRP
3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444
SUP 16.23.2RRP
Unless a firm is listed in the table below, this section does not apply to it where both of the following conditions are satisfied:(1) the firm has reported total revenue of less than £5 million as at its last accounting reference date; and(2) the firm only has permission to carry on one or more of the following activities:(a) advising on investments;(b) dealing in investments as agent;(c) dealing in investments as principal;(d) arranging (bringing about deals) in investments;(e)
Although the Solvency II Directive is7 concerned with the regulated activities of effecting and carrying out contracts of insurance, an incoming EEA firm passported under the Solvency II Directive7 will be entitled to carry on certain other regulated activities without the need for top-up permission. This is where the regulated activities are carried on for the purposes of or in connection with the incoming EEA Firm's insurance business1. These regulated activities may include:77(1)
FEES 6.7.6RRP
If a firm ceases to be a participant firm or carry out activities within one or more classes54 part way through a financial year6 of the compensation scheme:44(1) it will remain liable for any unpaid levies which the FSCS has already made on the firm; and41(2) the FSCS may make one or more levies4 upon it (which may be before or after the firm5 has ceased to be a participant firm or carry out activities within one or more classes5,4 but must be before it ceases to be an authorised
DISP 2.8.10GRP
713Where a complaint meets the requirements of DISP 2.8.9R(2)(d), those parts of the complaint that relate to the grounds of rejection of the claim are not subject to the restriction in DISP 2.8.9R(1) on an Ombudsman considering the complaint.