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Regulated activities order—checklist of exclusions Checklists. It introduces the concept of regulated activities and the concepts in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544 (RAO). a collective investment scheme, Acting as trustee or depositary of a UCITS, Acting as trustee or depositary of an AIF, Operating a collective investment scheme in relation to a UCITS or an AIF, Providing basic advice on stakeholder products, Advising on regulated home reversion plans, Advising on regulated home purchase plans, Advising on regulated sale and rent back agreements, Advising on conversion or transfer of pension benefits, Advice given in the course of administration by authorised person, Advice given by reason of providing pensions guidance under Part 20A of the Act, Advice on syndicate participation at Lloyd’s, Managing the underwriting capacity of a Lloyd’s syndicate, Arranging deals in contracts of insurance written at Lloyd’s, Plans covered by insurance or trust arrangements, Exempt agreements: exemptions relating to the nature of the agreement, Exempt agreements: exemption relating to the purchase of land for non-residential purposes, Exempt agreements: exemptions relating to the nature of the lender, Exempt agreements: exemptions relating to number of repayments to be made, Exempt agreements: exemptions relating to the total charge for credit, Exempt agreements: exemptions relating to the nature of the borrower, Arranging administration by authorised person, Administration pursuant to agreement with authorised person, Exempt agreements: exemptions relating to nature of agreement, Exempt agreements: exemptions relating to supply of essential services, Exempt agreements: exemptions relating to the nature of the hirer, Entering into and administering regulated home reversion plans, Entering into and administering regulated home purchase plans, Entering into and administering regulated sale and rent back agreements, Publicly available factual data and subscription services, Administration of a specified benchmark by the FCA, Agreeing to carry on specified kinds of activity, Trustees, nominees and personal representatives, Activities carried on in the course of a profession or non-investment business, Activities carried on in connection with the sale of goods or supply of services, Activities carried on in connection with the sale of a body corporate, Activities carried on in connection with employee share schemes, Activities carried on by a provider of relevant goods or services, Provision of information on an incidental basis, Large risks contracts where risk situated outside the EEA, Business Angel-led Enterprise Capital Funds, Instruments creating or acknowledging indebtedness, Instruments giving entitlements to investments, Certificates representing certain securities, Lloyd’s syndicate capacity and syndicate membership, Activities carried on by members of the legal profession, etc, Consequential amendments of the Consumer Credit Act 1974, Consequential amendments of subordinate legislation under the Consumer Credit Act 1974, Duty to maintain a record of unauthorised persons carrying on insurance mediation activities, Members of designated professional bodies, Exclusion from record where not fit and proper to carry on insurance mediation activities, Exclusion from the record where FCA has exercised its powers under Part XX of the Act, Disapplication of section 49(2) of the Act. False claims to be a certified person, 9J. This Order specifies kinds of activities and investments for the purposes of the Financial Services and Markets Act 2000 (“the Act"). This Order specifies kinds of activities and investments for the purposes of the Financial Services and Markets Act 2000 (“the Act”). Rules prohibiting the issue of electronic money at a discount, Exclusion of electronic money from the compensation scheme, Effecting and carrying out contracts of insurance, Application of sections 327 and 332 of the Act to insurance market activities, Dealing in contractually based investments, Acceptance of instruments creating or acknowledging indebtedness. The Whole Instrument without Schedules you have selected contains over 200 provisions and might take some time to download. The regulated financial services activities are set out and explained in Part 2 of the Financial Services and Markets Act 2000 (FSMA). Rights to or interests in investments, PART 3A SPECIFIED ACTIVITIES IN RELATION TO INFORMATION, 89A.Providing credit information services, 89C.Activities carried on by members of the legal profession, etc, Regulated mortgage contracts: consequential provisions, 90. Claims management on behalf of an insurer etc. 4, 5 [PART 1A THE REGULATORS CHAPTER 1 THE FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority 1A The Financial Conduct Authority (1)The body corporate previously known as the Financial Services Authority is to be You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run. 34. 200 provisions and might take some time to download. Dependent on the legislation item being viewed this may include: This timeline shows the different points in time where a change occurred. 5 Is there anything wrong with this page? Your firm requires our permission to carry out activities specified by the Regulated Activities Order 2001. RELEVANT TEXT OF THE INSURANCE MEDIATION DIRECTIVE, MEANING OF “BORROWER” IN RELATION TO GREEN DEAL CREDIT AGREEMENTS, FUNCTIONS INCLUDED IN THE ACTIVITY OF MANAGING A UCITS: ANNEX II TO THE UCITS DIRECTIVE. Sums received by persons authorised to deal etc. Issue by a company of its own shares etc. Operating a multilateral trading facility, Arranging regulated sale and rent back agreements, Arranging transactions to which the arranger is a party, Arranging contracts , plans or agreements to which the arranger is a party, Arranging deals with or through authorised persons, Arrangements made in the course of administration by authorised person, Arranging transactions in connection with lending on the security of insurance policies, Arranging the acceptance of debentures in connection with loans. The term "Future" means an F&O Contract or FX Contract subject to Clearing by the Clearing House that is a 'future' or 'contract for differences etc.' 18A.Dealing by a company in its own shares, Chapter V Dealing in Investments as Agent, 22. An overview of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). View on Westlaw or start a FREE TRIAL today, Article 72AA, The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, PrimarySources All contents of the lawinsider.com excluding publicly sourced documents are Copyright © 2013-, StarCompliance Code of Ethics application, Certified Remanufacture System or Verified Engine Upgrade. No versions before this date are available. The Whole Agreeing to carry on specified kinds of activity, Chapter XVII Exclusions Applying to Several Specified Kinds of Activity, 66. In particular, the FSMA (Regulated Activities) Order 2001, as amended (RAO), defines the scope of FSA regulation by listing the activities which, when carried on in relation to specified investments, constitute regulated activities. Instructions on behalf of settlement banks, 48. Sums received in consideration for the issue of debt securities, 9A. 200 provisions and might take some time to download. may also experience some issues with your browser, such as an alert box that a script is taking a 39B.Claims management on behalf of an insurer etc. Introduction to qualifying custodians, 43. Here is a non-exhaustive list. For further information see the Editorial Practice Guide and Glossary under Help. International securities self-regulating organisations, Providing pensions guidance under Part 20A of the Act, Introducing by individuals in the course of canvassing off trade premises, Transaction to which the broker is a party, Activities in relation to certain agreements relating to land, Activities carried on by members of the legal profession etc, Operating an electronic system in relation to lending, Activities in relation to debentures and bonds, Assisting in the administration and performance of a contract of insurance. This date is our basedate. Activities carried on in the course of a profession or non-investment business, 68. 544] Part II Specified activities (arts. paras. Activities where person has a connection to the agreement, Activities carried on by certain energy suppliers, Activities carried on in relation to a relevant agreement in relation to land, Activities carried on by reason of providing pensions guidance under Part 20A of the Act, Safeguarding and administering investments, Acceptance of responsibility by third party, Activities not constituting administration, Instructions on behalf of participating issuers, Instructions on behalf of settlement banks, Instructions in connection with takeover offers, Instructions in the course of providing a network, Establishing etc. Revised legislation carried on this site may not be fully up to date. Sums received in consideration for the issue of debt securities, Sums received in exchange for electronic money, Information society services and managers of UCITS and AIFs. The first date in the timeline will usually be the earliest date when the provision came into force. Exclusion of electronic money from the compensation scheme, 10. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run. 3The exclusions in the Regulated Activities Order that relate to the various arranging activities are as follows. The Whole Instrument you have selected contains over 200 provisions and might take some time to download. Dependent on the legislation item being viewed this may include: Click 'View More' or select 'More Resources' tab for additional information including: All content is available under the Open Government Licence v3.0 except where otherwise stated. The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 SCHEDULE 2 FINANCIAL INSTRUMENTS AND INVESTMENT SERVICES AND ACTIVITIES Article 3(1) PART 1 SECTION C OF ANNEX I TO THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE Financial instruments 1. 35. International securities self-regulating organisations, 35B.Providing pensions guidance under Part 20A of the Act, 36B.Introducing by individuals in the course of canvassing off trade premises, 36D.Transaction to which the broker is a party, 36E.Activities in relation to certain agreements relating to land, 36F.Activities carried on by members of the legal profession etc, Chapter 6B Operating an Electronic System in Relation to Lending, 36H.Operating an electronic system in relation to lending, 36IA.Activities in relation to debentures and bonds, CHAPTER VIIA Assisting in the Administration and Performance of a Contract of Insurance, 39A.Assisting in the administration and performance of a contract of insurance. ) [ SI 2001 No ) Order 2009 ( S.I arranging the acceptance of debentures in connection the! The FCA ) under the FSMA 2000 in breach of the general prohibition on any person carrying on a... 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