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the regulated activity, specified in article 25A(2) of the Regulated Activities Order, which is in summary: making arrangements with a view to a person who participates in the arrangements entering into a regulated mortgage contract as borrower.(see also arranging (in relation to regulated mortgage contracts) and arranging (bringing about) regulated mortgage contracts.)
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(1) (except in CASS 4 and CASS 7) a transaction executed by a firm with or for a client relating to a future, option or contract for differences (or any right to or any interest in such an investment) under the terms of which the client will or may be liable to provide cash or collateral to secure performance of obligations which he may have to perform when the transaction falls to be completed or upon the earlier closing out of his position.
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a market contract as described in section 155 of the Companies Act 1989 or article 80 of the Companies (No2) (Northern Ireland) Order 1990 which is in summary:(a) a contract entered into by a member or designated non-member of an RIE which is either:(i) a contract made on the exchange or an exchange to whose undertaking the exchange has succeeded; or(b) a contract entered into by an RIE or RCHwith one of its members for the purpose of enabling the rights and liabilities of that member under transactions in investments to be settled.