Arranging (bringing about) deals in investments fca




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The value of investments and the income from them can fall as well as rise and you might not get back the original amount invested. This can result from market movements and also from variations in exchange rates between sterling and the currency in which a particular investment is denominated.

FCA Information

Past performance is not a reliable indicator of future results. We are required to co-operate with the FCA, the government and other regulatory authorities in their dealings and other enquiries. This may involve reporting or disclosing to such authorities relevant information in respect of dealings in securities, including the identity of our clients. In particular the Money Laundering Regulations and related legislation require certain reporting and disclosure obligations.

You may be entitled to compensation from the scheme if we cannot meet our obligations. This depends on the type of business and the circumstances of the claim.


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They have several bank clients who undertake substantial due diligence on TCTS. We may also advise on other financial products, which are not regulated by the FCA under the Financial Services and Markets Act and to which the Financial Services Compensation Scheme does not apply.

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Regulated activities: arranging deals in investments

Accordingly, you should carefully consider whether such investments are suitable for you in light of your personal circumstances and the financial resources available to you. Satis Asset Management Placing you firmly in control of your financial future. Note that a body corporate may be a chief executive. If so, it will need to be approved if the firm in question is an FCA-authorised person to perform the chief executive function.

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The chief executive function does not apply in relation to a PRA-authorised person. PRA approval is required instead. Any apportionment referred to in SUP 10A. The effect of SUP 10A. Therefore, a partner whose only regulated activities are incidental to his professional services, in a partnership whose principal purpose is to carry on other than regulated activities, need not be an FCA-approved person. What amounts to the principal purpose of the firm is a matter of fact in each case having regard to all the circumstances, including the activities of the firm as a whole.


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Any regulated activities which such a partner carries on are not within the description of the partner function. If a firm is a limited liability partnership, the partner function extends to the firm as if the firm were a partnership and a member of the firm were a partner. If a partnership is registered under the Limited Partnership Act , the partner function does not extend to any function performed by a limited partner. The partner function does not apply in relation to a PRA-authorised person.

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If a firm is an unincorporated association, the director of unincorporated association function is the function of acting in the capacity of a director of the unincorporated association. The director of unincorporated association function does not apply in relation to a PRA-authorised person. Typically a non-directive friendly Society will appoint a "committee of management" to direct its affairs.

Regulated activities: arranging deals in investments | Practical Law

However, the governing arrangements may be informal and flexible. If this is the case, the FCA would expect the society to resolve to give responsibility for the carrying on of regulated activities to one individual who is appropriate in all the circumstances. That individual may, for example, have the title of chief executive or similar.

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Where that is the case, the small friendly society function will not apply. The CF10 control function is the simplifying code name given by the Financial Conduct Authority to the compliance oversight function [1] within the Financial services industry in the United Kingdom. The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations.

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