Regulation 4 Persons in respect of whom inspection under section 224 does not apply

United Kingdom

For the purposes of section 224(4) of the Act (power to inspect documents held by Official Receiver), the following categories are prescribed—

(a)

any investment firm; F1...

(b)

any credit institution F2; F3...

(c)

any insurance intermediary which is not an investment firm or a credit institution F4; F5...

(d)

any relevant management company F6; F7...

(F8e)

any relevant AIFM to the extent that it provided services in the United Kingdom other than—

(i)

services specified by Annex I to the alternative investment fund managers directive that were provided in respect of an authorised unit trust scheme, an authorised contractual scheme or an authorised open-ended investment company; or

(ii)

activities undertaken as an authorised manager of an ELTIF, as permitted by the ELTIF Regulation F9; and

(f)

any relevant mortgage intermediary.

Annotations

Textual amendments

F1: Word in reg. 4(a) omitted (31.10.2004 for specified purposes, 14.1.2005 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2003 (S.I. 2003/1476), arts. 1(3), 15(5)(a)
F2: Reg. 4(c) and word inserted (31.10.2004 for specified purposes, 14.1.2005 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2003 (S.I. 2003/1476), arts. 1(3), 15(5)(b)
F3: Word in reg. 4(b) omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 7(d)(i)
F4: Reg. 4(d) and word inserted (13.2.2004) by The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 7(d)(ii)
F5: Word in reg. 4 omitted (22.7.2013) by virtue of The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 11(5)(a)
F6: Reg. 4(e) and word inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 11(5)(b)
F7: Word in reg. 4 omitted (20.4.2015 for specified purposes, 21.12.2015 for specified purposes, 21.3.2016 in so far as not already in force) by virtue of The Mortgage Credit Directive Order 2015 (S.I. 2015/910), art. 1(5), Sch. 1 para. 6(5)(a) (with Pt. 4)
F8: Reg. 4(e) substituted (3.12.2015) by The European Long-term Investment Funds Regulations 2015 (S.I. 2015/1882), regs. 1, 7(5)
F9: Reg. 4(f) and word inserted (20.4.2015 for specified purposes, 21.12.2015 for specified purposes, 21.3.2016 in so far as not already in force) by The Mortgage Credit Directive Order 2015 (S.I. 2015/910), art. 1(5), Sch. 1 para. 6(5)(b) (with Pt. 4)