Regulation 3
Paragraph (2) sets out the persons prescribed for the purposes of section 8A(1)(a) ( as persons to whom information may be supplied).
Those persons are—
a person who is or has been an authorised person within the meaning of the Financial Services Act 1986f1 (“an authorised person”);
an appointed representative within the meaning of section 44 of the Financial Services Act 1986 (“an appointed representative”);
a recognised self-regulating organisation within the meaning of the Financial Services Act 1986;
a recognised professional body within the meaning of the Financial Services Act 1986;
the Securities and Investments Boardf2;
the Investors Compensation Scheme Limitedf3;
a professional indemnity insurer of an authorised person or an appointed representative;
The Chartered Accountants Compensation Scheme Limited;
The Solicitors Indemnity Fund Limited;
a person or body arbitrating or adjudicating in, or investigating or considering, a complaint or dispute made or referred to them by such an individual as is mentioned in section 8A(2) and which involves that individual and an authorised person or an appointed representative; and
a person or body appointed to act on behalf of any of the above.
Annotations
Footnotes
- f1
- f2
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The Securities and Investments Board is a designated agency within the meaning of section 114 of the Financial Services Act 1986.
- f3
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The Investors Compensation Scheme Limited was established under section 54 of the Financial Services Act 1986.