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controlled function CF8 in the table of controlled functions, described more fully in SUP 10.7.1 R .
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that part of safeguarding and administering investments which consists solely of arranging for one or more other persons to carry on both:(a) the safeguarding of assets belonging to another; and(b) the administration of those assets.
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the regulated activity, specified in article 39A of the Regulated Activities Order (Assisting in the administration and performance of a contract of insurance) of assisting in the administration and performance of a contract of insurance.
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(a) (in relation to managing investments):(i) arranging settlement;(ii) monitoring and processing corporate actions;(iii) client account administration, liaison and reporting, including valuation and performance measurement;(v) investment trust savings scheme administration;(b) (in relation to effecting or carrying out life policies):(i) new business administration;(iii) preparing projections;(iv) processing claims including pension payments;(v) fund switching;(c) (in relation to the operation of a stakeholder pension scheme):(i) new business administration;(ii) receipt of or alteration to contributions;(iii) preparing projections and annual statements;(iv) administration of transfers;(v) handling claims, including pension payments;(vi) fund allocation and switching.
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controlled function CF25 in the table of controlled functions, described more fully in SUP 10.10.15 R.
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controlled function CF12 in the table of controlled functions, described more fully in SUP 10.7.17 R.
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(a) (in relation to a company incorporated in the United Kingdom) an annual report and annual accounts as those terms are defined in sections 261(2) and 262(1) of the Companies Act 1985, together with an auditor's report prepared in relation to those accounts under section 235 of the Companies Act 1985;(b) (in relation to any other body) any similar or analogous documents which it is required to prepare whether by its constitution or by the law under which it is established.