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a personal pension policy or a personal pension contract under which contributions are made to a personal pension schemewhich is an appropriate scheme under section 1(8) of the Social Security Act 1986 or article 3(8) of the Social Security (Northern Ireland) Order 1986.
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the regulated activity, specified in article 56 of the Regulated Activities Order (Advice on syndicate participation at Lloyd's), of advising a person to become, or continue or cease to be, a member of a particular Lloyd's syndicate.
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a right to acquire a particular amount of the relevant security or of any associated security at a future date at a particular price.
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the regulated activity, specified in article 53A of the Regulated Activities Order, which is in summary: advising a person if the advice:(a) is given to the person in his capacity as a borrower or potential borrower; and(b) is advice on the merits of his:(i) entering into a particular regulated mortgage contract; or(ii) varying the terms of a regulated mortgage contract entered into by him on or after 31 October 2004 in such a way as to vary his obligations under that contract.
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the regulated activity, specified in article 53 of the Regulated Activities Order (Advising on investments), which is in summary: advising a person if the advice is:(a) given to the person in his capacity as an investor or potential investor, or in his capacity as agent for an investor or a potential investor; and(b) advice on the merits of his doing any of the following (whether as principal or agent):(i) buying, selling, subscribing for or underwriting a particular investment which is a security or relevant investment (that is, any designated investment, funeral plan contract, pure protection contract, general insurance contract or right to or interests in a funeral plan contract); or(ii) exercising any right conferred by such an investment, other than a pure protection contract or a general insurance contract, to buy, sell, subscribe for or underwrite such an investment.(2) (in (Approved Persons) and APER) the regulated activity specified in article 53 (Advising on investments) of the Regulated Activities Order. For these purposes, advising on investments includes any activities that would be included but for the exclusion in article 72AA (Managers of UCITS and AIFs) of the Regulated Activities Order.
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that part of safeguarding and administering investments which consists solely of arranging for one or more other persons to carry on both:(a) the safeguarding of assets belonging to another; and(b) the administration of those assets.
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the regulated activity, specified in article 39A of the Regulated Activities Order (Assisting in the administration and performance of a contract of insurance) of assisting in the administration and performance of a contract of insurance.
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controlled function CF8 in the table of controlled functions, described more fully in SUP 10.7.1 R .
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the date in any year stated in the most recently published prospectus as the date on or before which, in respect of each annual accounting period, an allocation of income is to be made.
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the Host State rules with which:(a) an incoming EEA firm is required to comply when carrying on a permitted activity through a branch or by providing services (as applicable) in the United Kingdom, as defined in paragraphs 13(4) and 14(4) of Part II of Schedule 3 to the Act (Exercise of passport rights by EEA firms); or
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the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217).
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a professional firm which is an authorised person.
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a person in relation to whom the FSA has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of a controlled function.
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action, ancillary to stabilising action, permitted under MAR 2.4.2 R.
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information which is usually the subject of a public announcement, although not subject to any formal disclosure requirement.
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(in accordance with section 31 of the Act (Authorised persons)) one of the following:(b) an incoming EEA firm;(c) an incoming Treaty firm;(d) a UCITS qualifier;(e) an ICVC;(f) the Society of Lloyd's.(see also GEN 2.2.18 R for the position of an authorisedpartnership or unincorporated association which is dissolved.)