# The Northern Rock plc Transfer Order 2009, Schedule 3: Deemed authorisation period: Part IV Permission


Regulated activity
Investment type
Customer type
Other limitations
Accepting deposits
Deposit
All
None
Agreeing to carry on specified kinds of activity
For the purposes of this activity, “specified kinds of activity” means the other regulated activities referred to in this table
Dealing in investments as agent
(a) Contract for differences (excluding a spread bet and a rolling spot forex contract);
(b) Option (excluding a commodity option and an option on a commodity future);
(c) Certificate representing certain security;
(d) Government and public security;
(e) Instrument giving entitlements to investments;
(f) Future (excluding a commodity future and a rolling spot forex contract);
(g) Rolling spot forex contract;
(h) Instrument creating or acknowledging indebtedness;
(i) Right to or interest in investments (security);
(j) Right to or interest in investments (contractually based investments)
Eligible Counterparty
For 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)
Dealing in investments as principal
(a) Contract for differences (excluding a spread bet and a rolling spot forex contract);
(b) Option (excluding a commodity option and an option on a commodity future);
(c) Future (excluding a commodity future and a rolling spot forex contract);
(d) Rolling spot forex contract;
(e) Right to or interest in investments (contractually based investments)
Eligible Counterparty
For 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.
For 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)
Advising on investments (except on pension transfers and pension opt outs)
Non-investment insurance contract
Retail (non-investment insurance)
None
Arranging deals in investments
Non-investment insurance contract
Retail (non-investment insurance)
None
Assisting in the administration and performance of a contract of insurance
Non-investment insurance contract
Retail (non-investment insurance)
None
Dealing in investments as agent
Non-investment insurance contract
Retail (non-investment insurance)
None
Making arrangements with a view to transactions in investments
Non-investment insurance contract
Retail (non-investment insurance)
None
Administering a regulated mortgage contract
Regulated mortgage contract
Customer
None
Advising on regulated mortgage contracts
Regulated mortgage contract
Customer
None
Arranging for a person to enter into or to vary regulated mortgage contracts
Regulated mortgage contract
Customer
None
Entering into a regulated mortgage contract as lender
Regulated mortgage contract
Customer
None
Making arrangements with a view to regulated mortgage contracts
Regulated mortgage contract
Customer
None

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Source: https://www.legislation.gov.uk/uksi/2009/3226/schedule/3 (the official version)
Page: https://openlegislation.uk/northern-rock-plc-transfer-order-2009/schedule-3
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.