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PART II U.K. SPECIFIED ACTIVITIES

Chapter VI U.K.Arranging Deals in Investments

Exclusions U.K.

[F1 Arranging contracts [F2 or plans] to which the arranger is a party U.K.

28A.— (1) There are excluded from [F3 articles 25A(1), 25B(1) and 25C(1)] any arrangements—

(a) for a [F4 contract or plan] into which the person making the arrangements enters or is to enter; or

(b) for a variation of a [F4 contract or plan] to which that person is (or is to become) a party.

(2) There are excluded from [F5 articles 25A(2), 25B(2) and 25C(2)] any arrangements which a person makes with a view to contracts [F6 or plans] into which he enters or is to enter.]

Textual Amendments

F1 Art. 28A inserted (31.10.2004) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 1) Order 2003 (S.I. 2003/1475), arts. 1(3), 7

F2 Words in art. 28A heading inserted (6.11.2006 for specified purposes, 6.4.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2006 (S.I. 2006/2383), arts. 1(2), 7(1)

F3 Words in art. 28A(1) substituted (6.11.2006 for specified purposes, 6.4.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2006 (S.I. 2006/2383), arts. 1(2), 7(2)(a)(i)

F4 Words in art. 28A(1) substituted (6.11.2006 for specified purposes, 6.4.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2006 (S.I. 2006/2383), arts. 1(2), 7(2)(a)(ii)

F5 Words in art. 28A(2) substituted (6.11.2006 for specified purposes, 6.4.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2006 (S.I. 2006/2383), arts. 1(2), 7(2)(b)(i)

F6 Words in art. 28A(2) inserted (6.11.2006 for specified purposes, 6.4.2007 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2006 (S.I. 2006/2383), arts. 1(2), 7(2)(b)(ii)