OpenLegislation

Chapter V Conduct of Investment BusinessC1

United Kingdom

  1. 47Misleading statements and practices.
  2. 47AStatements of principle.
  3. 47BModification or waiver of statements of principle in particular cases.
  4. 48Conduct of business rules.
  5. 49Financial resources rules.
  6. 50Modification of conduct of business and financial resources rules for particular cases.
  7. 51Cancellation rules.
  8. 52Notification regulations.
  9. 53Indemnity rules.
  10. 54Compensation fund.
  11. 55Clients’ money.
  12. 56Unsolicited calls.
  13. 57Restrictions on advertising.
  14. 58Exceptions from restrictions on advertising.
  15. 59Employment of prohibited persons.
  16. 60Public statement as to person’s misconduct.
  17. 61Injunctions and restitution orders.
  18. 62Actions for damages.
  19. 62ARestriction of right of action.
  20. 63Gaming contracts.
  21. 63AApplication of designated rules and regulations to members of self-regulating organisations.
  22. 63BModification or waiver of designated rules and regulations.
  23. 63CCodes of practice.

Annotations

Modifications

C1

Chapters III–XI (ss. 7–111): certain functions transferred by S.I. 1990/354, art. 5

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Act repealed (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 3(1)(c) (with savings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

Notes on Part I

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)