SCHEDULE 1 

PART IControlled Activities

Arranging deals in investments4

1

Making arrangements for another person (whether as principal or agent) to buy, sell, subscribe for or underwrite a particular investment which is—

a

a security;

F2aa

a structured deposit;

F3ab

a qualifying cryptoasset;

b

a contractually based investment; or

c

an investment of the kind specified by paragraph 24, or paragraph 27 so far as relevant to that paragraph,

is a controlled activity.

2

Making arrangements with a view to a person who participates in the arrangements buying, selling, subscribing for or underwriting investments falling within sub-paragraph (1)(a), F4(aa),F1(ab), (b) or (c) (whether as principal or agent) is a controlled activity.

3

A person does not carry on an activity falling within paragraph (2) merely by providing means by which one party to a transaction (or potential transaction) is able to communicate with other such parties.