RegAlertGuidance · FCA · 20 Aug 2013
FG13/5 - The use of the group exclusion and the CREST regulated activity
The Financial Conduct Authority issued this guidance to clarify the application of the Group exclusion for sending dematerialised instructions into CREST. The document addresses the regulated activity defined in article 45 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001/544. It provides specific regulatory interpretation for firms utilizing the Group exclusion in the context of CREST operations.
This FCA guidance provides clarification on the use of the Group exclusion when sending dematerialised instructions into CREST under the regulated activity in article 45 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001/544 (RAO).
FG13/5 - The use of the group exclusion and the CREST regulated activity
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