{
  "url": "https://openlegislation.uk/northern-rock-plc-transfer-order-2009/schedule-3",
  "json_url": "https://openlegislation.uk/northern-rock-plc-transfer-order-2009/schedule-3.json",
  "legislation": "uksi/2009/3226",
  "legislation_title": "The Northern Rock plc Transfer Order 2009",
  "legislation_url": "https://openlegislation.uk/northern-rock-plc-transfer-order-2009",
  "path": "schedule/3",
  "kind": "schedule",
  "number": "3",
  "heading": "Deemed authorisation period: Part IV Permission",
  "text": "Regulated activity\nInvestment type\nCustomer type\nOther limitations\nAccepting deposits\nDeposit\nAll\nNone\nAgreeing to carry on specified kinds of activity\nFor the purposes of this activity, “specified kinds of activity” means the other regulated activities referred to in this table\nDealing in investments as agent\n(a) Contract for differences (excluding a spread bet and a rolling spot forex contract);\n(b) Option (excluding a commodity option and an option on a commodity future);\n(c) Certificate representing certain security;\n(d) Government and public security;\n(e) Instrument giving entitlements to investments;\n(f) Future (excluding a commodity future and a rolling spot forex contract);\n(g) Rolling spot forex contract;\n(h) Instrument creating or acknowledging indebtedness;\n(i) Right to or interest in investments (security);\n(j) Right to or interest in investments (contractually based investments)\nEligible Counterparty\nFor the purposes of this activity, the permission to deal in the type of investment specified in (i) and (j) extends only to the types of investments specified in (a) to (h)\nDealing in investments as principal\n(a) Contract for differences (excluding a spread bet and a rolling spot forex contract);\n(b) Option (excluding a commodity option and an option on a commodity future);\n(c) Future (excluding a commodity future and a rolling spot forex contract);\n(d) Rolling spot forex contract;\n(e) Right to or interest in investments (contractually based investments)\nEligible Counterparty\nFor the purposes of this activity, the permission is limited to BCo carrying on the activity in the manner specified in article 16(1)(a) or (b) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001.\nFor the purposes of this activity, the permission to deal in the type of investment specified in (e) extends only to the types of investments specified in (a) to (d)\nAdvising on investments (except on pension transfers and pension opt outs)\nNon-investment insurance contract\nRetail (non-investment insurance)\nNone\nArranging deals in investments\nNon-investment insurance contract\nRetail (non-investment insurance)\nNone\nAssisting in the administration and performance of a contract of insurance\nNon-investment insurance contract\nRetail (non-investment insurance)\nNone\nDealing in investments as agent\nNon-investment insurance contract\nRetail (non-investment insurance)\nNone\nMaking arrangements with a view to transactions in investments\nNon-investment insurance contract\nRetail (non-investment insurance)\nNone\nAdministering a regulated mortgage contract\nRegulated mortgage contract\nCustomer\nNone\nAdvising on regulated mortgage contracts\nRegulated mortgage contract\nCustomer\nNone\nArranging for a person to enter into or to vary regulated mortgage contracts\nRegulated mortgage contract\nCustomer\nNone\nEntering into a regulated mortgage contract as lender\nRegulated mortgage contract\nCustomer\nNone\nMaking arrangements with a view to regulated mortgage contracts\nRegulated mortgage contract\nCustomer\nNone",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "Amended by S.I. 2006/3384."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/2009/3226/schedule/3",
    "retrieved_at": "2026-10-29T02:59:15.131264+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}