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The Northern Rock plc Transfer Order 2009
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- UK Statutory Instruments
- 2009 No. 3226
- SCHEDULE 3
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Article 9
SCHEDULE 3Deemed authorisation period: Part IV Permission
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| Regulated activity | Investment type | Customer type | Other limitations |
|---|---|---|---|
| Accepting deposits | Deposit | All | None |
| Agreeing to carry on specified kinds of activity | For the purposes of this activity, “specified kinds of activity” means the other regulated activities referred to in this table | ||
| Dealing in investments as agent | (a) Contract for differences (excluding a spread bet and a rolling spot forex contract); (b) Option (excluding a commodity option and an option on a commodity future); (c) Certificate representing certain security; (d) Government and public security; (e) Instrument giving entitlements to investments; (f) Future (excluding a commodity future and a rolling spot forex contract); (g) Rolling spot forex contract; (h) Instrument creating or acknowledging indebtedness; (i) Right to or interest in investments (security); (j) Right to or interest in investments (contractually based investments) | Eligible Counterparty | For the purposes of this activity, the permission to deal in the type of investment specified in (i) and (j) extends only to the types of investments specified in (a) to (h) |
| Dealing in investments as principal | (a) Contract for differences (excluding a spread bet and a rolling spot forex contract); (b) Option (excluding a commodity option and an option on a commodity future); (c) Future (excluding a commodity future and a rolling spot forex contract); (d) Rolling spot forex contract; (e) Right to or interest in investments (contractually based investments) | Eligible Counterparty | For the purposes of this activity, the permission is limited to BCo carrying on the activity in the manner specified in article 16(1)(a) or (b) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001(1). For the purposes of this activity, the permission to deal in the type of investment specified in (e) extends only to the types of investments specified in (a) to (d) |
| Advising on investments (except on pension transfers and pension opt outs) | Non-investment insurance contract | Retail (non-investment insurance) | None |
| Arranging deals in investments | Non-investment insurance contract | Retail (non-investment insurance) | None |
| Assisting in the administration and performance of a contract of insurance | Non-investment insurance contract | Retail (non-investment insurance) | None |
| Dealing in investments as agent | Non-investment insurance contract | Retail (non-investment insurance) | None |
| Making arrangements with a view to transactions in investments | Non-investment insurance contract | Retail (non-investment insurance) | None |
| Administering a regulated mortgage contract | Regulated mortgage contract | Customer | None |
| Advising on regulated mortgage contracts | Regulated mortgage contract | Customer | None |
| Arranging for a person to enter into or to vary regulated mortgage contracts | Regulated mortgage contract | Customer | None |
| Entering into a regulated mortgage contract as lender | Regulated mortgage contract | Customer | None |
| Making arrangements with a view to regulated mortgage contracts | Regulated mortgage contract | Customer | None |
(1)
Amended by S.I. 2006/3384.
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