OpenLegislation

Part I Regulation of Investment BusinessC1C2

United Kingdom

  1. IPreliminary
  2. IIRestriction on Carrying on Business
  3. IIIAuthorised Persons
  4. IVExempted Persons
  5. VConduct of Investment Business
  6. VIPowers of Intervention
  7. VIIWinding up and Administration Orders
  8. VIIICollective Investment Schemes
  9. IXThe Tribunal
  10. XInformation
  11. XIAuditors
  12. XIIFees
  13. XIIITransfer of Functions to Designated Agency
  14. XIVPrevention of Restrictive Practices
  15. XVRelations with other Regulatory Authorities

Annotations

Modifications

C1

Pt. I (ss. 1-128) amended (S.) (22.5.2000) by S.I. 2000/121, regs. 1, 37, Sch. 2

C2

Pt. I (ss. 1–128): power to modify conferred (prosp.) by Courts and Legal Services Act 1990 (c. 41, SIF 76:1), ss. 89, 124(3), Sch. 14 para. 9(c)

Notes on the whole Act

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Act repealed (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 3(1)(c) (with savings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