Part III Exempted Actions
United Kingdom
| Person taking action | Exempted action |
|---|---|
| 1. The Secretary of State, a designated agency, a recognised self-regulating organisation, a recognised professional body, any other body or person mentioned in paragraph 3(2) of Part I of this Schedule or the competent authority. | Any such decision or proposed decision as is mentioned in Part I of this Schedule. |
| 2. A person (whether or not an individual) described in paragraph 1(a), (b), (c) or (d), paragraph 2(a), (b) or (c) or paragraph 3(a), (b) or (c) of Part II of this Schedule. | Dismissing or excluding an individual from being or becoming an associate of the person in column 1. |
| 3. The issuer of securities listed or subject to an application for listing under Part IV of this Act. | Dismissing or excluding an individual from being or becoming an associate of the issuer. |
| 4. The F1Friendly Societies Commission, a transferee body or a recognised self-regulating organisation for friendly societies. | Any such decision or proposed decision as is mentioned in Part I of this Schedule. |
Annotations
Textual amendments
- F1
-
Words in Sch. 14 Pt. III para. 4 substituted (1.2.1993 for specified purposes and 1.1.1994 for all remaining purposes) by Friendly Societies Act 1992 (c. 40), s. 98, Sch. 18 Pt. I para. 9(1)(c) (with ss. 7(5), 93(4)); S.I. 1993/16, art. 2, Sch.4; S.I. 1993/2213, art. 2(1), Sch.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Act repealed (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 3(1)(c) (with savings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 Schedule 14
Textual amendments
- F1
-
Sch. 14 amended (12.2.1992) by S.I. 1992/225, reg.115.
Modifications
- C1
-
Sch. 14 continued (with modifications) (S.) (temp. from 1.12.2001) by S.I. 2001/3640, art. 4(1)
- C2
-
Sch. 14 amended (temp. from 3.9.2001 until 1.12.2001) by S.I. 2001/2659, art. 6(2)