You are viewing the FCA Handbook Glossary as it appeared on 31/12/2006.
arranger
- (1) (For the purposes of PRU 8 (Group risk) a firm with permission for one or more of the following: and which:
- (c) is not a bank, a building society or an ELMI;
- (d) is not an insurer;
- (e) is not a UCITS management company;
- (f) is not a local; and
- (g) does not have permission:
- (i) to deal in investments as principal; or
- (ii) for dealing in investments as agent; or
- (iii) for managing investments.
- (2) (for all other purposes) a person who is arranging (bringing about) deals in investments, making arrangements with a view to transactions in investments, or agreeing to carry on any of those regulated activity.
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