PART II SPECIFIED ACTIVITIES
Chapter I General
4.Specified activities: general
Chapter II Accepting Deposits
The activity
5.Accepting deposits
Exclusions
6.Sums paid by certain persons
7.Sums received by solicitors etc.
8.Sums received by persons authorised to deal etc.
9.Sums received in consideration for the issue of debt securities
Chapter III Insurance
The activities
10.Effecting and carrying out contracts of insurance
Exclusions
11.Community co-insurers
12.Breakdown insurance
Supplemental
13.Application of sections 327 and 332 of the Act to insurance market activities
Chapter IV Dealing in Investments as Principal
The activity
14.Dealing in investments as principal
Exclusions
15.Absence of holding out etc.
16.Dealing in contractually based investments
17.Acceptance of instruments creating or acknowledging indebtedness
18.Issue by a company of its own shares etc.
19.Risk management
20.Other exclusions
Chapter V Dealing in Investments as Agent
The activity
21.Dealing in investments as agent
Exclusions
22.Deals with or through authorised persons
23.Risk management
24.Other exclusions
Chapter VI Arranging Deals in Investments
The activities
25.Arranging deals in investments
Exclusions
26.Arrangements not causing a deal
27.Enabling parties to communicate
28.Arranging transactions to which the arranger is a party
29.Arranging deals with or through authorised persons
30.Arranging transactions in connection with lending on the security of insurance policies
31.Arranging the acceptance of debentures in connection with loans
32.Provision of finance
33.Introducing
34.Arrangements for the issue of shares etc.
35.International securities self-regulating organisations
36.Other exclusions
Chapter VII Managing Investments
The activity
37.Managing investments
Exclusions
38.Attorneys
39.Other exclusions
Chapter VIII Safeguarding and Administering Investments
The activity
40.Safeguarding and administering investments
Exclusions
41.Acceptance of responsibility by third party
42.Introduction to qualifying custodians
43.Activities not constituting administration
44.Other exclusions
Chapter IX Sending Dematerialised Instructions
The activities
45.Sending dematerialised instructions
Exclusions
46.Instructions on behalf of participating issuers
47.Instructions on behalf of settlement banks
48.Instructions in connection with takeover offers
49.Instructions in the course of providing a network
50.Other exclusions
Chapter X Collective Investment Schemes
The activities
51.Establishing etc. a collective investment scheme
Chapter XI Stakeholder Pension Schemes
The activities
52.Establishing etc. a stakeholder pension scheme
Chapter XII Advising on Investments
The activity
53.Advising on investments
Exclusions
54.Advice given in newspapers etc.
55.Other exclusions
Chapter XIII Lloyd's
The activities
56.Advice on syndicate participation at Lloyd's
57.Managing the underwriting capacity of a Lloyd’s syndicate
58.Arranging deals in contracts of insurance written at Lloyd's
Chapter XIV Funeral Plan Contracts
The activity
59.Funeral plan contracts
Exclusion
60.Plans covered by insurance or trust arrangements
Chapter XV Regulated Mortgage Contracts
The activities
61.Regulated mortgage contracts
Exclusions
62.Arranging administration by authorised person
63.Administration pursuant to agreement with authorised person
Chapter XVI Agreeing to Carry on Activities
The activity
64.Agreeing to carry on specified kinds of activity
Exclusion
65.Overseas persons
Chapter XVII Exclusions Applying to Several Specified Kinds of Activity
66.Trustees, nominees and personal representatives
67.Activities carried on in the course of a profession or non-investment business
68.Activities carried on in connection with the sale of goods or supply of services
69.Groups and joint enterprises
70.Activities carried on in connection with the sale of a body corporate
71.Activities carried on in connection with employee share schemes
72.Overseas persons