INMA 1.1.4 Application of these rules — general

Subject to rule 1.1.5, these rules apply to an entity that has, or is applying for, an authorisation to conduct any of the following activities:

(a) dealing in investments (if limited to dealing as agent);

Note Dealing in investments as principal is covered by BANK or IBANK, as applicable. Dealing in investments includes buying, selling, subscribing for or underwriting investment.
(b) managing investments;
(c) providing custody services;
(d) operating a collective investment scheme;
(e) providing custody services in relation to a collective investment scheme;
(f) providing scheme administration (that is, providing scheme administration in relation to a collective investment scheme);
(g) arranging deals in investments;
(h) arranging the provision of custody services;
(i) arranging financing facilities;
(j) advising on investments.

Note Each reference to investments in rule 1.1.4 includes Islamic investments — see the Glossary.
Amended by QFCRA RM/2015-3 (as from 1st January 2016).