Paragraph 9

United Kingdom

Subject to paragraphs 10 and 11 below, this Part of this Schedule applies to any transaction arranged by the listed institution which—

(a)

is entered into by another listed institution as principal (or as agent for another listed institution) with another listed institution F1, the Treasuryor the Bank of England (whether acting as principal or agent);

(b)

is entered into by another listed institution (whether acting as principal or agent) with an unlisted person (whether acting as principal or agent); or

(c)

is entered into between unlisted persons (whether acting as principal or agent),

if the transaction falls within paragraph 2 or 3 above.

Annotations

Textual amendments

F1: Words in Sch. 5 para. 9(a) inserted (1.6.1998) by 1998 c. 11, s. 32(c); S.I. 1998/1120, art. 2

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F1: Act repealed (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 3(1)(c) (with savings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 5

Modifications

C1: Sch. 5 amended by S.I. 1990/696, art. 2