Legacy qualifications

No.	Activity
2.	Advising on (but not dealing in) Securities (which are not stakeholder pension schemes or broker funds)
3.	Advising on (but not dealing in) Derivatives
4.	Advising on Packaged products (which are not broker funds)
7.	Advising on (but not dealing in) investments which are securities (other than stakeholder pension schemes or broker funds) and derivatives - for those advising on venture capital investments only, see 'Managing investments in relation to venture capital investments only'
7.	Advising on Long-term care insurance contracts
12.	Advising on, and dealing with or for clients in, Securities (which are not stakeholder pension schemes or broker funds)
13.	Advising on, and dealing with or for clients in, Derivatives
14.	Managing investments
15.	Overseeing on a day-to-day basis operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
16.	Overseeing on a day-to-day basis safeguarding and administering investments or holding client money
17.	Overseeing on a day-to-day basis administrative functions 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; - (iv) ISA, PEP or CTF administration; - (v) investment trust savings scheme administration
18.	Overseeing on a day-to-day basis administrative functions in relation to effecting or carrying out contracts of insurance which are life policies: - (i) new business administration; - (ii) policy alterations including surrenders and policy loans; - (iii) preparing projections; - (iv) processing claims, including pension payments; - (v) fund switching
19.	Overseeing on a day-to-day basis administrative functions in relation to the operation of stakeholder pension schemes: - (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
19.	Designing scripted questions for use in sales to cutomers of regulated lifetime mortgage contracts which do not involve personal recommendations
20.	Advising a customer on a regulated mortgage contract (for a non-business purpose)
21.	Advising a customer on Equity release transactions
22.	Managing investments in relation to venture capital investments only
29.	Overseeing on a day-to-day basis the sales to customers of regulated lifetime mortgages which do not involve personal recommendations