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Summary

Summary Notes - Business Law and Practice (LPC) - FSMA

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Summary of 2 pages for the course Business Law and Practice at ULaw (FSMA Summary)

Institution
University Of Law (ULaw)
Module
Business Law and Practice

Content preview

The table below summarises the specified investment activities to which the
exclusions apply.


SPECIFIED ACTIVITY APPLICABLE EXCLUSIONS
DEALING AS AGENT - ATP
- Execution-only
- Professional/necessary
- Takeover
ARRANGING - Introducing
- ATP
- Execution-only
- Professional/necessary
- Acting as a trustee/PR
- Takeover
ADVISING - Professional/necessary
- Acting as a trustee/PR
- Takeover
MANAGING - Acting as a trustee/PR
SAFEGUARDING - Professional/necessary
- Acting as a trustee/PR
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Written for

Institution
University of Law (ULaw)
Study
University of Law
Module
Business Law and Practice

Document information

Uploaded on
December 20, 2020
Number of pages
2
Written in
2019/2020
Type
SUMMARY

Subjects

  • fsma
  • financial services and markets act 2000

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