Regulation 4 Amendment of the principal Regulations

at the end of sub-paragraph (b) omit “and”;

for sub-paragraph (c) substitute—

“(c)

details of the accredited compensation scheme of which the firm is a member in accordance with Directive 97/9/EC of the European Parliament and of the Council of 3rd March 1997 on investor-compensation schemes^f1; and

(d)

a statement of whether the firm intends to use a tied agent established in the United Kingdom.”.