Regulated activities: safeguarding and administering investments

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.


 

The full text of this resource is available by logging in or by requesting a trial. If you have any questions, please contact us or your Practical Law Account Executive.

Free trial

A free trial will give you:

Unlimited access to our online legal know-how services during the trial period
Full training and support
Four issues of Practical Law The Journal, the companion to Practical Law online
Weekly update e-mails on current legal developments in your practice area
 

Login

Subscribers and trialists can login below

Contact Us

If you need assistance logging in or have any questions about our services, please contact us.

{ "siteName" : "PLC", "objType" : "PLC_Doc_C", "objID" : "1247243293557", "objName" : "Regulated activities safeguarding and administering investments", "userID" : "2", "objUrl" : "http://us.practicallaw.com/cs/Satellite/us/resource/9-202-0011?q=&qp=&qo=&qe=", "pageType" : "Resource", "academicUserID" : "", "contentAccessed" : "false", "analyticsPermCookie" : "2-462603a8:14a5e6b120d:-5fef", "analyticsSessionCookie" : "2-462603a8:14a5e6b120d:-5fee", "statisticSensorPath" : "http://analytics.practicallaw.com/sensor/statistic" }