Regulated activities: safeguarding and administering investments | Practical Law

Regulated activities: safeguarding and administering investments | Practical Law

Safeguarding and administering investments is a regulated activity under article 40 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). This note identifies the key issues to be considered when determining whether a person is carrying on this activity, including applicable exclusions and exemptions.

Regulated activities: safeguarding and administering investments

Practical Law UK Practice Note 9-202-0011 (Approx. 12 pages)

Regulated activities: safeguarding and administering investments

MaintainedUnited Kingdom
Safeguarding and administering investments is a regulated activity under article 40 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). This note identifies the key issues to be considered when determining whether a person is carrying on this activity, including applicable exclusions and exemptions.