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(1) (except in SUP 10A (Approved Persons) and APER) 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 to buy, sell, subscribe for or underwrite such an investment.(2) (in SUP 10A (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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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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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 53C of the Regulated Activities Order, which is in summary: advising a person if the advice:(b) is advice on the merits of his:(i) entering into a particular home purchase plan; or(ii) varying the terms of a home purchase plan entered into by him on or after 6 April 2007 in such a way as to vary his obligations under that plan.
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the regulated activity, specified in article 53D of the Regulated Activities Order, which is in summary advising a person if the advice:(a) is given to a person in his capacity as:(i) an agreement seller or potential agreement seller; or(ii) an agreement provider or potential agreement provider; and(b) is advice on the merits of his doing either of the following:(i) entering into a particular regulated sale and rent back agreement; or(ii) varying the terms of a regulated sale and rent back agreement entered into on or after 1 July 2009 by him as agreement seller or agreement provider, in such a way as to vary his obligations under that agreement and in relation to a person who acquires obligations or rights under a regulated sale and rent back agreement, an activity is a specified kind of activity for the purposes of this part of the definition only if the agreement was entered into by the agreement provider (rather than the obligations or rights acquired) on or after 1 July 2009.
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the regulated activity, specified in article 53B of the Regulated Activities Order, which is in summary: advising a person if the advice:(a) is given to him in his capacity as reversion occupier or plan provider or potential reversion occupier or potential plan provider; and(b) is advice on the merits of his:(i) entering into a particular home reversion plan; or(ii) varying the terms of a home reversion plan entered into by him on or after 6 April 2007 in such a way as to vary his obligations under that plan.
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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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a permission of the type referred to in Article 129(2) of the Banking Consolidation Directive (permission to apply the IRB approach, the AMA approach or the CCR internal model method on a consolidated basis) or Article 37(2) of the Capital Adequacy Directive (permission to apply the VaR model approach on a consolidated basis) excluding an Article 129 implementing measure.
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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 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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(in relation to a with-profits insurance contract) a discretionary addition to policy benefits under a with-profits insurance contract made by a long-term insurer as a result of the annual actuarial investigation.
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(in accordance with regulation 2(1) of the Payment Services Regulations) a person included by the FCA in the Financial Services Register as an authorised payment institution pursuant to regulation 4(1)(a), or a person deemed to have been granted authorisation by virtue of regulation 121 of the Payment Services Regulations.
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a person in relation to whom the FCA or the PRA 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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an investigation to which IPRU-INS rule 9.4 applies.