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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 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 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 (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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a stock lending transaction in respect of which the conditions in PRU 4.3.36 Rhave been met.
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the regulated activity, specified in article 25B(1) of the Regulated Activities Order, which is in summary: making arrangements for another person to:(b) vary the terms of a home reversion plan entered into by him as reversion occupier or as plan provider on or after 6 April 2007.
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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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controlled function CF12 in the table of controlled functions, described more fully in SUP 4.3.13 R and SUP 10.7.17 R .
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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 PR) the document referred to in PR 5.2.1 R.
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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.)
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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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(as defined in subsection 142(2) of the Act (Insurance business: regulations supplementing Authority's rules)) rules made by the FSA which require an authorised person who has permission to effecting or carry out contracts of insurance to identify assets which belong to him and which are maintained in respect of a particular aspect of his business.
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the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217).