Related provisions for SYSC 4.1.8A

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COBS 2.3.12ERP
(1) 1This evidential provision applies in relation to a holding in, or the provision of credit to, a firm which holds itself out as making personal recommendations to retail clients on packaged products, except where the relevant transaction is between persons who are in the same immediate group.(2) A product provider should not take any step which would result in it:(a) having a direct or indirect holding of the capital or voting power of a firm in (1); or(b) providing credit
SUP 16.12.4RRP

Table of applicable rules containing data items4, frequency and submission periods

(1)

(2)

(3)

(4)

RAGnumber

Regulated Activities

Provisions containing:

applicabledata items

reporting frequency/ period

Due date

RAG 1

• accepting deposits

• issuing electronic money

SUP 16.12.5 R

SUP 16.12.6 R

SUP 16.12.7 R

RAG 2.1

• effecting contracts of insurance

• carrying out contracts of insurance

• entering as provider into a funeral plan contract

SUP 16.12.8 R2

SUP 16.12.8 R2

SUP 16.12.8 R2

RAG 2.2

• managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds

• advising on syndicate participation at Lloyds

• arranging deals in contracts of insurance written at Lloyds

SUP 16.12.9 R2

SUP 16.12.9 R2

SUP 16.12.9 R2

RAG 3

• dealing in investment as principal

• dealing in investments as agent

• advising on investments (excluding retail investment activities)

• arranging (bringing about) deals in investments (excluding retail investment activities)

SUP 16.12.10 R2SUP 16.12.11 R

SUP 16.12.10 R2SUP 16.12.12 R

SUP 16.12.10 R2SUP 16.12.13 R

RAG 4

• managing investments

• establishing, operating or winding up a regulated collective investment scheme

• establishing, operating or winding up an unregulated collective investment scheme

• establishing, operating or winding up a stakeholder pension scheme

• establishing, operating or winding up a personal pension scheme2

5

SUP 16.12.14 R2SUP 16.12.15 R

SUP 16.12.14 R2SUP 16.12.16 R

SUP 16.12.14 R2SUP 16.12.17 R

RAG 5

• entering into a regulated mortgage contract

• administering a regulated mortgage contract

SUP 16.12.18A R2

SUP 16.12.18A R2

SUP 16.12.18A R2

RAG 6

• acting as trustee of an authorised unit trust

• safeguarding and administration of assets (without arranging)

• arranging safeguarding and administration of assets

• acting as depository or sole director of an OEIC5

SUP 16.12.19A R2

SUP 16.12.20 R2

SUP 16.12.21 R2

RAG 7

• retail investment activities

• advising on pensions transfers & opt-outs

• arranging (bringing about deals) in retail investments

SUP 16.12.22A R

SUP 16.12.23 R

SUP 16.12.24 R

RAG 8

• making arrangements with a view to transactions in investments

• operating a multilateral trading facility4

SUP 16.12.25A R

SUP 16.12.26 R

SUP 16.12.27 R

RAG 9

• mortgage mediation activity

• insurance mediation activity (non-investment insurance contracts)

SUP 16.12.28 R2

SUP 16.12.28 R2

SUP 16.12.28 R2

RAG 10

• the activities of an RIE/RCH

SUP 16.12.29 G2

SUP 16.12.29 G2

SUP 16.12.29 G2

DISP 2.7.6RRP
To be an eligible complainant a person must also have a complaint which arises from matters relevant to one or more of the following relationships with the respondent:121(1) the complainant is (or was) a customer of the respondent;(2) the complainant is (or was) a potential customer of the respondent;(3) the complainant is the holder, or the beneficial owner, of units in a collective investment scheme and the respondent is the operator or depositary of the scheme;(4) the complainant
SUP 12.2.7GRP
(1) The Appointed Representatives Regulations are made by the Treasury under section 39(1) of the Act. These regulations describe, among other things, the business for which an appointed representative may be exempt, 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 contract (but only where the contract is not a long-term care insurance contract) or general
PERG 2.3.2GRP
There is power in the Act for the Treasury to change the meaning of the business element by including or excluding certain things. They have exercised this power (see the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001 (SI 2001/1177), the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2003 (SI 2003/1476) and the Financial Services and Markets Act 2000 (Carrying on Regulated Activities
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to SYSC 18 does not give rise to a right of action by a private person under section 150 of the Act (and each of those rules is specified under section 150(2) of the Act as a provision giving rise to no such right of action).