OpenLegislation

Financial Services Act 1986 (repealed)

1986 c. 60 · Enacted 7 November 1986 · Extends to United Kingdom

Not fully up to date. 2 changes made by later legislation have not yet been written into this text, which is revised to 1 December 2001.

See the changes not yet applied
ProvisionChangeMade by
specified amended provision(s)Commencement OrderEthical Standards in Public Life etc. (Scotland) Act 2000 (Commencement No. 3) 2003 art. 2
specified amended provision(s)Commencement OrderCriminal Justice and Police Act 2001 (Commencement No. 9) 2003 art. 2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Annotations to the whole text

Textual amendments

F1

Act repealed (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 3(1)(c) (with savings in art. 292)

Contents

  1. Part I: Regulation of Investment Business
  2. Chapter I: Preliminary
  3. 1Investments and investment business.
  4. 2Power to extend or restrict scope of Act.
  5. Chapter II: Restriction on Carrying on Business
  6. 3Persons entitled to carry on investment business.
  7. 4Offences.
  8. 5Agreements made by or through unauthorised persons.
  9. 6Injunctions and restitution orders.
  10. Chapter III: Authorised Persons
  11. Members of recognised self-regulating organisations
  12. 7Authorisation by membership of recognised self-regulating organisation.
  13. 8Self-regulating organisations.
  14. 9Applications for recognition.
  15. 10Grant and refusal of recognition.
  16. 11Revocation of recognition.
  17. 12Compliance orders.
  18. 13Alteration of rules for protection of investors.
  19. 14Notification requirements.
  20. Persons authorised by recognised professional bodies
  21. 15Authorisation by certification by recognised professional body.
  22. 16Professional bodies.
  23. 17Applications for recognition.
  24. 18Grant and refusal of recognition.
  25. 19Revocation of recognition.
  26. 20Compliance orders.
  27. 21Notification requirements.
  28. Insurance companies
  29. 22Authorised insurers.
  30. Friendly societies
  31. 23Friendly societies.
  32. Collective investment schemes
  33. 24Operators and trustees of recognised schemes.
  34. Investment companies with variable capital
  35. 24AInvestment companies with variable capital
  36. Persons authorised by the Secretary of State
  37. 25Authorisation by Secretary of State.
  38. 26Applications for authorisation.
  39. 27Grant and refusal of authorisation.
  40. 28Withdrawal and suspension of authorisation.
  41. 29Notice of proposed refusal, withdrawal or suspension.
  42. 30Withdrawal of applications and authorisations by consent.
  43. Persons authorised in other member States
  44. 31Authorisation in other member State.
  45. 32Notice of commencement of business.
  46. 33Termination and suspension of authorisation.
  47. 34Notice of proposed termination or suspension.
  48. Chapter IV: Exempted Persons
  49. The Bank of England
  50. 35The Bank of England.
  51. Recognised investment exchanges and clearing houses
  52. 36Investment exchanges.
  53. 37Grant and revocation of recognition.
  54. 38Clearing houses.
  55. 39Grant and revocation of recognition.
  56. 40Overseas investment exchanges and clearing houses.
  57. 41Notification requirements.
  58. Other exemptions
  59. 42Lloyd’s.
  60. 43Listed money market institutions.
  61. 44Appointed representatives.
  62. 45Miscellaneous exemptions.
  63. Supplemental
  64. 46Power to extend or restrict exemptions.
  65. Chapter V: Conduct of Investment Business
  66. 47Misleading statements and practices.
  67. 47AStatements of principle.
  68. 47BModification or waiver of statements of principle in particular cases.
  69. 48Conduct of business rules.
  70. 49Financial resources rules.
  71. 50Modification of conduct of business and financial resources rules for particular cases.
  72. 51Cancellation rules.
  73. 52Notification regulations.
  74. 53Indemnity rules.
  75. 54Compensation fund.
  76. 55Clients’ money.
  77. 56Unsolicited calls.
  78. 57Restrictions on advertising.
  79. 58Exceptions from restrictions on advertising.
  80. 59Employment of prohibited persons.
  81. 60Public statement as to person’s misconduct.
  82. 61Injunctions and restitution orders.
  83. 62Actions for damages.
  84. 62ARestriction of right of action.
  85. 63Gaming contracts.
  86. 63AApplication of designated rules and regulations to members of self-regulating organisations.
  87. 63BModification or waiver of designated rules and regulations.
  88. 63CCodes of practice.
  89. Chapter VI: Powers of Intervention
  90. 64Scope of powers.
  91. 65Restriction of business.
  92. 66Restriction on dealing with assets.
  93. 67Vesting of assets in trustee.
  94. 68Maintenance of assets in United Kingdom.
  95. 69Rescission and variation.
  96. 70Notices.
  97. 71Breach of prohibition or requirement.
  98. Chapter VII: Winding up and Administration Orders
  99. 72Winding up orders.
  100. 73Winding up orders: Northern Ireland.
  101. 74Administration orders.
  102. Chapter VIII: Collective Investment Schemes
  103. Preliminary
  104. 75Interpretation.
  105. Promotion of schemes
  106. 76Restrictions on promotion.
  107. Authorised unit trust schemes
  108. 77Applications for authorisation.
  109. 78Authorisation orders.
  110. 79Revocation of authorisation.
  111. 80Representations against refusal or revocation.
  112. 81Constitution and management.
  113. 82Alteration of schemes and changes of manager or trustee.
  114. 83Restrictions on activities of manager.
  115. 84Avoidance of exclusion clauses.
  116. 85Publication of scheme particulars.
  117. Recognition of overseas schemes
  118. 86Schemes constituted in other member States.
  119. 87Schemes authorised in designated countries or territories.
  120. 88Other overseas schemes.
  121. 89Refusal and revocation of recognition.
  122. 90Facilities and information in the United Kingdom.
  123. Powers of intervention
  124. 91Directions.
  125. 92Notice of directions.
  126. 93Applications to the court.
  127. Supplemental
  128. 94Investigations.
  129. 95Contraventions.
  130. Chapter IX: The Tribunal
  131. 96The Financial Services Tribunal.
  132. 97References to the Tribunal.
  133. 98Decisions on references by applicant or authorised person etc.
  134. 99Decisions on references by third parties.
  135. 100Withdrawal of reference.
  136. 101Reports.
  137. Chapter X: Information
  138. 102Register of authorised persons and recognised organisations etc.
  139. 103Inspection of register.
  140. 104Power to call for information.
  141. 105Investigation powers.
  142. 106Exercise of investigation powers by officer etc.
  143. Chapter XI: Auditors
  144. 107Appointment of auditors.
  145. 107AApplication of audit rules to members of self-regulating organisations.
  146. 108Power to require second audit.
  147. 109Communication by auditor with supervisory authorities.
  148. 110Overseas business.
  149. 111Offences and enforcement.
  150. Chapter XII: Fees
  151. 112Application fees.
  152. 113Periodical fees.
  153. Chapter XIII: Transfer of Functions to Designated Agency
  154. 114Power to transfer functions to designated agency.
  155. 115Resumption of transferred functions.
  156. 116Status and exercise of transferred functions.
  157. 117Reports and accounts.
  158. 118Transitional and supplementary provisions.
  159. Chapter XIV: Prevention of Restrictive Practices
  160. Examination of rules and practices
  161. 119Recognised self-regulating organisations, investment exchanges and clearing houses.
  162. 120Modification of s. 119 where recognition function is transferred.
  163. 121Designated agencies.
  164. Consultation with Director General of Fair Trading
  165. 122Reports by Director General of Fair Trading.
  166. 123Investigations by Director General of Fair Trading.
  167. Consequential exemptions from competition law
  168. 124The Fair Trading Act 1973.
  169. 125The Competition Act 1998: Chapter I prohibition.
  170. 126The Competition Act 1980.
  171. Recognised professional bodies
  172. 127Application of Competition Act 1998 in relation to recognised professional bodies: Chapter 2001I prohibition.
  173. Supplemental
  174. 128Supplementary provisions.
  175. Chapter XV: Relations with other Regulatory Authorities
  176. 128ARelevance of other controls.
  177. 128BRelevance of information given and action taken by other regulatory authorities.
  178. 128CEnforcement in support of overseas regulatory authority.
  179. Part II: Insurance Business
  180. 129Application of investment business provisions to regulated insurance companies.
  181. 130Restriction on promotion of contracts of insurance.
  182. 131Contracts made after contravention of s. 130.
  183. 132Insurance contracts effected in contravention of s. 2 of Insurance Companies Act 1982.
  184. 133Misleading statements as to insurance contracts.
  185. 134. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  186. 135Communication by auditor with Secretary of State.
  187. 136Arrangements to avoid unfairness between separate insurance funds etc.
  188. 137Regulations in respect of linked long term policies.
  189. 138. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  190. 139Industrial assurance.
  191. Part III: Friendly Societies
  192. 140Friendly societies.
  193. 141Indemnity schemes.
  194. Part IV: Official Listing of Securities
  195. 142Official listing.
  196. 143Applications for listing.
  197. 144Admission to list.
  198. 145Discontinuance and suspension of listing.
  199. 146General duty of disclosure in listing particulars.
  200. 147Supplementary listing particulars.
  201. 148Exemptions for disclosure.
  202. 149Registration of listing particulars.
  203. 150Compensation for false or misleading particulars.
  204. 151Exemption from liability to pay compensation.
  205. 152Persons responsible for particulars.
  206. 153Obligations of issuers of listed securities.
  207. 154Advertisements etc. in connection with listing applications.
  208. 154AApplication of Part IV to prospectuses.
  209. 155Fees.
  210. 156Listing rules: general provisions.
  211. 156AApproval of prospectus where no application for listing.
  212. 156BPublication of prospectus.
  213. 157. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  214. Part V
  215. 158Preliminary.
  216. 159Offers of securities on admission to approved exchange.
  217. 160Other offers of securities.
  218. 160AExemptions.
  219. 161Exceptions.
  220. 162Form and content of prospectus.
  221. 163General duty of disclosure in prospectus.
  222. 164Supplementary prospectus.
  223. 165Exemptions from disclosure.
  224. 166Compensation for false or misleading prospectus.
  225. 167Exemption from liability to pay compensation.
  226. 168Persons responsible for prospectus.
  227. 169Terms and implementation of offer.
  228. 170Advertisements by private companies and old public companies.
  229. 171Contraventions.
  230. Part VI: Takeover Offers
  231. 172Takeover offers.
  232. Part VII: Insider Dealing
  233. 173. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  234. 174Section 174 Repealed
  235. 175. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  236. 176. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  237. 177Investigations into insider dealing.
  238. 178Penalties for failure to co-operate with s. 177 investigations.
  239. Part VIII: Restrictions on Disclosure of Information
  240. 179Restrictions on disclosure of information.
  241. 180Exceptions from restrictions on disclosure.
  242. 181Directions restricting disclosure of information overseas.
  243. 182Disclosure of information under enactments relating to fair trading, banking, insurance and companies.
  244. Part IX: Reciprocity
  245. 183Reciprocal facilities for financial business.
  246. 184Investment and insurance business.
  247. 185Banking business.
  248. 186Variation and revocation of notices.
  249. Part X: Miscellaneous and Supplementary
  250. 187Exemption from liability for damages.
  251. 188Jurisdiction of High Court and Court of Session.
  252. 189Restriction of Rehabilitation of Offenders Act 1974.
  253. 190Data protection.
  254. 191Occupational pension schemes.
  255. 193. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  256. 194Transfers to or from recognised clearing houses.
  257. 195Offers of short-dated debentures.
  258. 196Financial assistance for employees’ share schemes.
  259. 197Disclosure of interests in shares: interest held by market maker.
  260. 198Power to petition for winding up etc. on information obtained under Act.
  261. 199Powers of entry.
  262. 200False and misleading statements.
  263. 201Prosecutions.
  264. 202Offences by bodies corporate, partnerships and unincorporated associations.
  265. 203Jurisdiction and procedure in respect of offences.
  266. 204Service of notices.
  267. 205General power to make regulations.
  268. 205ASupplementary provisions with respect to subordinate legislation.
  269. 206Publication of information and advice.
  270. 207Interpretation.
  271. 208Gibraltar.
  272. 209Northern Ireland.
  273. 210Expenses and receipts.
  274. 211Commencement and transitional provisions.
  275. 212Short title, consequential amendments and repeals.
  276. Schedule 1: Investments and Investment Business
  277. Part I: Investments
  278. Shares etc.
  279. 1Paragraph 1
  280. Debentures
  281. 2Paragraph 2
  282. Government and public securities
  283. 3Paragraph 3
  284. Instruments entitling to shares or securities
  285. 4Paragraph 4
  286. Certificates representing securities
  287. 5Paragraph 5
  288. Units in collective investment scheme
  289. 6Paragraph 6
  290. Options
  291. 7Paragraph 7
  292. Futures
  293. 8Paragraph 8
  294. Contracts for differences etc.
  295. 9Paragraph 9
  296. Long term insurance contracts
  297. 10Paragraph 10
  298. Rights and interests in investments
  299. 11Paragraph 11
  300. Part II: Activities Constituting Investment Business
  301. Dealing in investments
  302. 12Paragraph 12
  303. Arranging deals in investments
  304. 13Paragraph 13
  305. Custody of Investments
  306. 13AParagraph 13A
  307. Managing investments
  308. 14Paragraph 14
  309. Investment advice
  310. 15Paragraph 15
  311. Establishing etc. collective investment schemes
  312. 16Paragraph 16
  313. Sending dematerialised instructions etc
  314. 16AParagraph 16A
  315. Part III: Excluded Activities
  316. Dealings as principal
  317. 17Paragraph 17
  318. Groups and joint enterprises
  319. 18Paragraph 18
  320. Sale of goods and supply of services
  321. 19Paragraph 19
  322. Employees’ share schemes
  323. 20Paragraph 20
  324. Sale of body corporate
  325. 21Paragraph 21
  326. Trustees and personal representatives
  327. 22Paragraph 22
  328. Dealings in course of non-investment business
  329. 23Paragraph 23
  330. Advice given or arrangements made in course of profession or non-investment business
  331. 24Paragraph 24
  332. Custody of group pension funds by certain insurance companies
  333. 24AParagraph 24A
  334. Newspapers
  335. 25Paragraph 25
  336. Advice given in sound, television or cable programmes
  337. 25AAdvice given in television, sound or teletext services
  338. 25BInternational Securities Self-regulating organisations
  339. Part IV: Additional Exclusions for Persons Without Permanent Place of Business in United Kingdom
  340. Transactions with or through authorised or exempted persons
  341. 26Paragraph 26
  342. Unsolicited or legitimately solicited transactions etc. with or for other persons
  343. 27Paragraph 27
  344. Part V: Interpretation
  345. 28Paragraph 28
  346. 29Paragraph 29
  347. 30Paragraph 30
  348. 31Paragraph 31
  349. 32Paragraph 32
  350. 33Paragraph 33
  351. 34Paragraph 34
  352. 35Paragraph 35
  353. 36Paragraph 36
  354. 37Paragraph 37
  355. 38Paragraph 38
  356. Schedule 2: Requirements for Recognition of Self-regulating Organisation
  357. Members to be fit and proper persons
  358. 1Paragraph 1
  359. Admission, expulsion and discipline
  360. 2Paragraph 2
  361. Safeguards for investors
  362. 3Paragraph 3
  363. Taking account of costs of compliance
  364. 3AParagraph 3A
  365. Monitoring and enforcement
  366. 4Paragraph 4
  367. The governing body
  368. 5Paragraph 5
  369. Investigation of complaints
  370. 6Paragraph 6
  371. Promotion and maintenance of standards
  372. 7Paragraph 7
  373. Schedule 3: Requirements for recognition of professional body
  374. Statutory status
  375. 1Paragraph 1
  376. Certification
  377. 2Paragraph 2
  378. Safeguards for investors
  379. 3Paragraph 3
  380. Taking account of costs of compliance
  381. 3AParagraph 3A
  382. Monitoring and enforcement
  383. 4Paragraph 4
  384. Investigation of complaints
  385. 5Paragraph 5
  386. Promotion and maintenance of standards
  387. 6Paragraph 6
  388. Schedule 4: Requirements for Recognition of Investment Exchange
  389. Financial resources
  390. 1Paragraph 1
  391. Safeguards for investors
  392. 2Paragraph 2
  393. Monitoring and enforcement
  394. 3Paragraph 3
  395. Investigation of complaints
  396. 4Paragraph 4
  397. Promotion and maintenance of standards
  398. 5Paragraph 5
  399. Supplementary
  400. 6Paragraph 6
  401. Schedule 5: Listed Money Market Institutions
  402. Part I: Transactions not Subject to Monetary Limit
  403. 1Paragraph 1
  404. 2Paragraph 2
  405. 3Paragraph 3
  406. Part II: Transactions Subject to Monetary Limit
  407. 4Paragraph 4
  408. 5Paragraph 5
  409. 6Paragraph 6
  410. 7Paragraph 7
  411. 8Paragraph 8
  412. Part III: Transactions arranged by Listed Institutions
  413. 9Paragraph 9
  414. 10Paragraph 10
  415. 11Paragraph 11
  416. Schedule 6: The Financial Services Tribunal
  417. Term of office of members
  418. 1Paragraph 1
  419. Expenses
  420. 2Paragraph 2
  421. Staff
  422. 3Paragraph 3
  423. Procedure
  424. 4Paragraph 4
  425. Evidence
  426. 5Paragraph 5
  427. Appeals and supervision by Council on Tribunals
  428. 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  429. Parliamentary disqualification
  430. 7Paragraph 7
  431. Schedule 7: Qualifications of Designated Agency
  432. Constitution
  433. 1Paragraph 1
  434. Arrangements for discharge of functions
  435. 2Paragraph 2
  436. Taking account of costs of compliance
  437. 2AParagraph 2A
  438. Monitoring and enforcement
  439. 3Paragraph 3
  440. Investigation of complaints
  441. 4Paragraph 4
  442. Promotion and maintenance of standards
  443. 5Paragraph 5
  444. Records
  445. 6Paragraph 6
  446. Schedule 8: Principles applicable to Designated Agency’s Legislative Provisions
  447. Introduction
  448. 1Paragraph 1
  449. Standards
  450. 1AParagraph 1A
  451. 2Paragraph 2
  452. 3Paragraph 3
  453. 4Paragraph 4
  454. Disclosure
  455. 5Paragraph 5
  456. 6Paragraph 6
  457. 7Paragraph 7
  458. 8Paragraph 8
  459. Protection
  460. 9Paragraph 9
  461. 10Paragraph 10
  462. Records
  463. 11Paragraph 11
  464. Classes of investors
  465. 12Paragraph 12
  466. Schedule 9: Designated Agencies: Status and Exercise of Transferred Functions
  467. Status
  468. 1Paragraph 1
  469. Exemption from requirement of “limited" in name of designated agency
  470. 2Paragraph 2
  471. The Tribunal
  472. 3Paragraph 3
  473. Legislative functions
  474. 4Paragraph 4
  475. 5Paragraph 5
  476. 6Paragraph 6
  477. 7Paragraph 7
  478. 8Paragraph 8
  479. 9Paragraph 9
  480. Fees
  481. 10Paragraph 10
  482. 11Paragraph 11
  483. Consultation
  484. 12Paragraph 12
  485. Exchange of information
  486. 13Paragraph 13
  487. Schedule 10: Regulated Insurance Companies
  488. Preliminary
  489. 1Paragraph 1
  490. Authorisations for investment business and insurance business
  491. 2Paragraph 2
  492. Recognition of self-regulating organisation with insurance company members
  493. 3Paragraph 3
  494. Modification of provisions as to conduct of investment business
  495. 4Paragraph 4
  496. Restriction of provisions as to conduct of insurance business
  497. 5Paragraph 5
  498. Exercise of powers of intervention etc.
  499. 6Paragraph 6
  500. Withdrawal of insurance business authorisation
  501. 7Paragraph 7
  502. Termination of investment business authorisation of insurer established in other member State
  503. 8Paragraph 8
  504. Powers of Tribunal
  505. 9Paragraph 9
  506. Consultation with designated agencies
  507. 10Paragraph 10
  508. Schedule 11: Friendly Societies
  509. Part I: Preliminary
  510. 1Paragraph 1
  511. Part II: Self-Regulating Organisations for Friendly Societies
  512. Recognition
  513. 2Paragraph 2
  514. 3Paragraph 3
  515. 4Paragraph 4
  516. Revocation of recognition
  517. 5Paragraph 5
  518. Compliance orders
  519. 6Paragraph 6
  520. 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  521. 8Paragraph 8
  522. 9Paragraph 9
  523. Prevention of restrictive practices
  524. 10Paragraph 10
  525. Fees
  526. 11Paragraph 11
  527. Application of provisions of this Act
  528. 12Paragraph 12
  529. Part III: Registrar’s Powers in Relation to Regulated Friendly Societies
  530. Special provisions for regulated friendly societies
  531. 13Paragraph 13
  532. Conduct of investment business
  533. 13AParagraph 13A
  534. 13BParagraph 13B
  535. 14Paragraph 14
  536. 15Paragraph 15
  537. 16Paragraph 16
  538. 17Paragraph 17
  539. 18Paragraph 18
  540. 19Paragraph 19
  541. 20Paragraph 20
  542. 21Paragraph 21
  543. 22Paragraph 22
  544. 22AParagraph 22A
  545. 22BParagraph 22B
  546. 22CParagraph 22C
  547. 22DParagraph 22D
  548. Intervention, information and investigations
  549. 23Paragraph 23
  550. 24Paragraph 24
  551. 25Paragraph 25
  552. Exercise of powers under enactments relating to friendly societies
  553. 26Paragraph 26
  554. 27. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  555. Part IV: Transfer of Registrar’s Functions
  556. 28Paragraph 28
  557. 29Paragraph 29
  558. 30Paragraph 30
  559. 31Paragraph 31
  560. 31AParagraph 31A
  561. 32Paragraph 32
  562. 33Paragraph 33
  563. 34Paragraph 34
  564. 35Paragraph 35
  565. 36Paragraph 36
  566. 37Paragraph 37
  567. Part V: Miscellaneous and Supplemental
  568. 38Paragraph 38
  569. 39Paragraph 39
  570. 40Paragraph 40
  571. 40AParagraph 40A
  572. 41Paragraph 41
  573. 42Paragraph 42
  574. 43. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  575. 44Paragraph 44
  576. 45Paragraph 45
  577. Schedule 11A: OFFERS OF SECURITIES TO THE PUBLIC IN THE UNITED KINGDOM
  578. 1Paragraph 1
  579. 2Paragraph 2
  580. 3Paragraph 3
  581. 4Paragraph 4
  582. Schedule 12Takeover Offers: Provisions Substituted for Sections 428, 429 and 430 of Companies Act 1985
  583. Schedule 13: Disclosure of Information
  584. 1Paragraph 1
  585. 2Paragraph 2
  586. 3, 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  587. 5Paragraph 5
  588. 6Paragraph 6
  589. 7Paragraph 7
  590. 8Paragraph 8
  591. 9Paragraph 9
  592. 10Paragraph 10
  593. 11Paragraph 11
  594. 12Paragraph 12
  595. 13Paragraph 13
  596. 14Paragraph 14
  597. Schedule 14: Restriction of Rehabilitation of Offenders Act 1974
  598. Part I: Exempted Proceedings
  599. 1Paragraph 1
  600. 2Paragraph 2
  601. 3Paragraph 3
  602. 4Paragraph 4
  603. 5Paragraph 5
  604. 6Paragraph 6
  605. IIExempted Questions
  606. IIIExempted Actions
  607. Part IV: Supplemental
  608. Schedule 15: Transitional Provisions
  609. Interim authorisation
  610. 1Paragraph 1
  611. Return of fees on pending applications
  612. 2Paragraph 2
  613. Deposits and undertakings
  614. 3Paragraph 3
  615. Interim recognition of professional bodies
  616. 4Paragraph 4
  617. Interim authorisation by recognised professional bodies
  618. 5Paragraph 5
  619. Power of recognised professional body to make rules required by this Act.
  620. 6Paragraph 6
  621. Notice of commencement of business
  622. 7Paragraph 7
  623. Advertisements
  624. 8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  625. Authorised unit trust schemes
  626. 9Paragraph 9
  627. Recognised collective investment schemes
  628. 10Paragraph 10
  629. 11Paragraph 11
  630. Delegation orders
  631. 12Paragraph 12
  632. Disclosure of information
  633. 13Paragraph 13
  634. Temporary exemptions for friendly societies
  635. 14Paragraph 14
  636. Dealings in course of non-investment business
  637. 15Paragraph 15
  638. Northern Ireland
  639. 16Paragraph 16
  640. Schedule 16: Consequential Amendments
  641. 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  642. 2Paragraph 2
  643. 3Paragraph 3
  644. 4Paragraph 4
  645. 5Paragraph 5
  646. 6Paragraph 6
  647. 7Paragraph 7
  648. 8Paragraph 8
  649. 9Paragraph 9
  650. 10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  651. 11Paragraph 11
  652. 12Paragraph 12
  653. 13Paragraph 13
  654. 14Paragraph 14
  655. 15Paragraph 15
  656. 16. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  657. 17Paragraph 17
  658. 18Paragraph 18
  659. 19Paragraph 19
  660. 20Paragraph 20
  661. 21Paragraph 21
  662. 22. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  663. 23Paragraph 23
  664. 24Paragraph 24
  665. 25Paragraph 25
  666. 26Paragraph 26
  667. 27Paragraph 27
  668. 28. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  669. 29Paragraph 29
  670. 30Paragraph 30
  671. 31Paragraph 31
  672. 32Paragraph 32
  673. 33Paragraph 33
  674. 34Paragraph 34
  675. 35Paragraph 35
  676. 36Paragraph 36
  677. 37. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  678. 38Paragraph 38
  679. 39Paragraph 39
  680. 40Paragraph 40
  681. 41Paragraph 41
  682. 42Paragraph 42
  683. 43. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repealed
  684. Schedule 17: Repeals and Revocations
  685. IEnactments
  686. IIInstruments