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The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009

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Exclusion of certain other arrangements consisting of an introduction to an authorised person etc.

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11.  In article 33A (introducing to authorised persons etc.)—

(a)after paragraph (1B) insert—

“(1C) There are excluded from article 25E(2) arrangements where—

(a)they are arrangements under which a client is introduced to a person (“N”) who is—

(i)an authorised person who has permission to carry on a regulated activity of the kind specified by any of articles 25E, 53D and 63J(1),

(ii)an appointed representative who may carry on a regulated activity of the kind specified by either of articles 25E or 53D without contravening the general prohibition, or

(iii)an overseas person who carries on activities specified by any of articles 25E, 53D and 63J(1); and

(b)the conditions mentioned in paragraph (2) are satisfied.”;

(b)after paragraph 4(c) insert—

“;

(d)for the purposes of paragraph (1C), an agreement provider, an agreement seller or a person who is or may be contemplating entering into a regulated sale and rent back agreement as an agreement provider or agreement seller.”.

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