Report to SRA due by 30th June

Have you submitted your report yet? Each firm needs to confirm what (if any) regulated financial services it provides by 30th June 2017. http://www.sra.org.uk/financial/

Helpful guidance is available at http://www.sra.org.uk/financial/#Collection_2 Regulated activities include:

  • dealing in, arranging, advising on, assisting in the administration of, and making arrangements with a view to carry out, contracts of insurance
  • consumer credit activities
  • setting up stakeholder pension schemes
  • investments: advising, dealing in or managing, arranging deals, safeguarding and administering
  • setting up collective investment schemes
  • home finance – mortgages: arranging, advising on, entering into and administering
  • providing basic advice on stakeholder products
  • Lloyd’s market activities
  • operating a multilateral trading facility
  • sending dematerialised instructions (electronic transfer of title in investments like securities and contractually based investments)
  • entering funeral plan contracts
  • issuing e-money
  • agreeing to do most of the above activities.

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