The Investment Services Regulations 1995 (revoked)

S.I. 1995/3275 · Made 18 December 1995 · Extends to United Kingdom

Contents

1. Part I: GENERAL Repealed
2. 1Citation and commencement Repealed
3. 2Interpretation: general Repealed
4. Part II: RECOGNITION IN UK OF EUROPEAN INVESTMENT FIRMS Repealed
5. Preliminary Repealed
6. 3European investment firms Repealed
7. 4Authorised services Repealed
8. Effect of recognition Repealed
9. 5Authorisations and licences not required Repealed
10. 6Procedural requirements for carrying on listed services Repealed
11. Effect of non-recognition Repealed
12. 7Prohibition on carrying on certain listed services Repealed
13. Functions of Board Repealed
14. 8Duty to prepare for supervision Repealed
15. 9Power to prohibit the provision of listed services Repealed
16. 10Power to restrict provision of listed services Repealed
17. 11Limitations on Board’s powers Repealed
18. 12Obligation of Board where investment firm ceases to be a European investment firm etc. Repealed
19. Functions of the Bank Repealed
20. 13Duty to prepare for supervision Repealed
21. 14Obligation of Bank where investment firm ceases to be a European investment firm etc. Repealed
22. Functions of Director Repealed
23. 15Power to prohibit the carrying on of Consumer Credit Act business Repealed
24. 16Power to restrict the carrying on of Consumer Credit Act business Repealed
25. Part III: RELATIONS WITH THIRD COUNTRIES Repealed
26. 17Treasury directions for implementing certain EC decisions Repealed
27. Part IV: RECOGNITION IN OTHER EEA STATES OF UK INVESTMENT FIRMS Repealed
28. Preliminary Repealed
29. 18UK investment firms Repealed
30. 19Authorised services Repealed
31. Procedural requirements Repealed
32. 20Procedural requirements for carrying on certain listed services Repealed
33. Part V: AMENDMENTS OF FINANCIAL SERVICES ACT Repealed
34. 21Authorisation by membership of recognised self-regulating organisations Repealed
35. 22Applications for authorisation Repealed
36. 23Grant and refusal of authorisation Repealed
37. 24Authorisation in other EEA State Repealed
38. 25Certain EEA regulated markets Repealed
39. 26Exempted persons Repealed
40. 27Appointed representatives Repealed
41. 28Statement of services covered by authorisation Repealed
42. 29Reciprocal facilities for investment business Repealed
43. 30Exemption from liability for damages Repealed
44. 31Recognised professional bodies Repealed
45. 32Other amendments of Financial Services Act Repealed
46. 33Construction of Part V Repealed
47. Part VI: AMENDMENTS OF CONSUMER CREDIT ACT Repealed
48. 34Effect of standard licence Repealed
49. 35Grant of standard licence Repealed
50. 36Conduct of business Repealed
51. 37The register Repealed
52. 38Enforcement of agreements Repealed
53. 39Restrictions on disclosure of information Repealed
54. 40Power to modify subordinate legislation in relation to European investment firms Repealed
55. Part VII: NOTIFICATION OF CONTROLLERS Repealed
56. 41Notification of new or increased control Repealed
57. 42Objection to new or increased control Repealed
58. 43Contraventions of regulation 41 Repealed
59. 44Restrictions on voting rights Repealed
60. 45Prior notification of ceasing to be a relevant controller Repealed
61. 46Construction of Part VII Repealed
62. 47Prosecution of offences under Part VII Repealed
63. Part VIII: MISCELLANEOUS Repealed
64. 48Restrictions on disclosure of information Repealed
65. 49Regulated markets Repealed
66. 50Power of Board to give directions Repealed
67. 51Board’s power to obtain information from group members Repealed
68. 52Powers of entry Repealed
69. 53Contravention of regulation 51 or 52 Repealed
70. 54Directions to the Bank Repealed
71. 55Position of European subsidiaries Repealed
72. Part IX: SUPPLEMENTAL Repealed
73. 56The Board’s functions under the Regulations Repealed
74. 57Minor and consequential amendments Repealed
75. 58Transitional provisions and savings Repealed
76. Signature
77. Schedule 1ANNEX TO THE INVESTMENT SERVICES DIRECTIVE Repealed
78. Schedule 2ARTICLE 2.2 OF THE INVESTMENT SERVICES DIRECTIVE Repealed
79. Schedule 3: REQUIREMENTS AS RESPECTS EUROPEAN INVESTMENT FIRMS Repealed
80. Requirements for providing services etc. Repealed
81. 1Paragraph 1 Repealed
82. 2Paragraph 2 Repealed
83. 3Paragraph 3 Repealed
84. Requirements for changing requisite details where services are provided Repealed
85. 4Paragraph 4 Repealed
86. Requirements for changing requisite details of branch Repealed
87. 5Paragraph 5 Repealed
88. 6Meaning of “listed firm” Repealed
89. Schedule 4: PROHIBITIONS BY THE BOARD Repealed
90. Notice of prohibition Repealed
91. 1Paragraph 1 Repealed
92. References to the Financial Services Tribunal Repealed
93. 2Paragraph 2 Repealed
94. 3Paragraph 3 Repealed
95. 4Paragraph 4 Repealed
96. Schedule 5: PROHIBITIONS AND RESTRICTIONS BY THE DIRECTOR Repealed
97. Preliminary Repealed
98. 1Paragraph 1 Repealed
99. Notice of prohibition or restriction Repealed
100. 2Paragraph 2 Repealed
101. Application to revoke prohibition or restriction Repealed
102. 3Paragraph 3 Repealed
103. Representations to Director Repealed
104. 4Paragraph 4 Repealed
105. Appeals Repealed
106. 5Paragraph 5 Repealed
107. Schedule 6: REQUIREMENTS AS RESPECTS UK AUTHORISED INVESTMENT FIRMS Repealed
108. Requirements for providing listed services etc. Repealed
109. 1Paragraph 1 Repealed
110. 2Paragraph 2 Repealed
111. 3Paragraph 3 Repealed
112. 4Paragraph 4 Repealed
113. Requirements for changing requisite details where services are provided Repealed
114. 5Paragraph 5 Repealed
115. Requirements for changing requisite details of branch Repealed
116. 6Paragraph 6 Repealed
117. 7Paragraph 7 Repealed
118. References to the Financial Services Tribunal Repealed
119. 8Paragraph 8 Repealed
120. References to “listed person” Repealed
121. 9Paragraph 9 Repealed
122. Schedule 7: OTHER AMENDMENTS OF FINANCIAL SERVICES ACT Repealed
123. Preliminary Repealed
124. 1Paragraph 1 Repealed
125. Restriction on carrying on business Repealed
126. 2Paragraph 2 Repealed
127. Authorised persons Repealed
128. 3Paragraph 3 Repealed
129. 4Paragraph 4 Repealed
130. 5Paragraph 5 Repealed
131. 6Paragraph 6 Repealed
132. Exempted persons Repealed
133. 7Paragraph 7 Repealed
134. 8Paragraph 8 Repealed
135. Conduct of business Repealed
136. 9Paragraph 9 Repealed
137. 10Paragraph 10 Repealed
138. 11Paragraph 11 Repealed
139. 12Paragraph 12 Repealed
140. 13Paragraph 13 Repealed
141. 14Paragraph 14 Repealed
142. 15Paragraph 15 Repealed
143. 16Paragraph 16 Repealed
144. 17Paragraph 17 Repealed
145. 18Paragraph 18 Repealed
146. 19Paragraph 19 Repealed
147. 20Paragraph 20 Repealed
148. 21Paragraph 21 Repealed
149. Collective investment schemes Repealed
150. 22Paragraph 22 Repealed
151. 23Paragraph 23 Repealed
152. 24Paragraph 24 Repealed
153. Information Repealed
154. 25Paragraph 25 Repealed
155. 26Paragraph 26 Repealed
156. 27Paragraph 27 Repealed
157. Auditors Repealed
158. 28Paragraph 28 Repealed
159. 29Paragraph 29 Repealed
160. 30Paragraph 30 Repealed
161. Fees Repealed
162. 31Paragraph 31 Repealed
163. Prevention of restrictive practices Repealed
164. 32Paragraph 32 Repealed
165. 33Paragraph 33 Repealed
166. Relations with other regulatory authorities Repealed
167. 34Paragraph 34 Repealed
168. Official listing of securities Repealed
169. 35Paragraph 35 Repealed
170. 36Paragraph 36 Repealed
171. Insider dealing Repealed
172. 37Paragraph 37 Repealed
173. Restrictions on disclosure of information Repealed
174. 38Paragraph 38 Repealed
175. Miscellaneous and supplementary Repealed
176. 39Paragraph 39 Repealed
177. 40Paragraph 40 Repealed
178. 41Paragraph 41 Repealed
179. Activities constituting investment business Repealed
180. 42Paragraph 42 Repealed
181. Requirements for recognition of self-regulating organisation Repealed
182. 43Paragraph 43 Repealed
183. Qualifications of designated agency Repealed
184. 44Paragraph 44 Repealed
185. Principles applicable to designated agency’s legislative provisions Repealed
186. 45Paragraph 45 Repealed
187. Schedule 8ARTICLE 25 OF THE INVESTMENT SERVICES DIRECTIVE Repealed
188. Schedule 9: POSITION OF EUROPEAN SUBSIDIARIES Repealed
189. 1Paragraph 1 Repealed
190. Modifications of the Banking Regulations Repealed
191. 2Paragraph 2 Repealed
192. 3Paragraph 3 Repealed
193. Procedural requirements for existing European subsidiaries carrying on listed services Repealed
194. 4Paragraph 4 Repealed
195. 5Paragraph 5 Repealed
196. Schedule 10: MINOR AND CONSEQUENTIAL AMENDMENTS Repealed
197. Part I: PRIMARY LEGISLATION Repealed
198. Superannuation Act 1972 (c. 11) Repealed
199. 1Paragraph 1 Repealed
200. Superannuation (Northern Ireland) Order 1972 (S.I. 1972/1073 (N.I. 10)) Repealed
201. 2Paragraph 2 Repealed
202. Data Protection Act 1984 (c. 35) Repealed
203. 3Paragraph 3 Repealed
204. Companies Act 1985 (c. 6) Repealed
205. 4Paragraph 4 Repealed
206. Building Societies Act 1986 (c. 53) Repealed
207. 6Paragraph 6 Repealed
208. 7Paragraph 7 Repealed
209. Companies (Northern Ireland) Order 1986 (S.I. 1986/1032 (N.I.6)) Repealed
210. 8Paragraph 8 Repealed
211. Banking Act 1987 (c. 22) Repealed
212. 9Paragraph 9 Repealed
213. 10Paragraph 10 Repealed
214. 11Paragraph 11 Repealed
215. Consumer Protection Act 1987 (c. 43) Repealed
216. 12Paragraph 12 Repealed
217. Consumer Protection (Northern Ireland) Order 1987 (S.I. 1987/2049 (N.I.20)) Repealed
218. 13Paragraph 13 Repealed
219. Companies Act 1989 (c. 40) Repealed
220. 14Paragraph 14 Repealed
221. Companies (No.2) (Northern Ireland) Order 1990 (S.I. 1990/1504 (N.I.10)) Repealed
222. 15Paragraph 15 Repealed
223. Part II: SUBORDINATE LEGISLATION Repealed
224. Data Protection (Regulation of Financial Services etc.) (Subject Access Exemption) Order 1987 (S.I. 1987/1905) Repealed
225. 16Paragraph 16 Repealed
226. Banking Act 1987 (Advertisements) Regulations 1988 (S.I. 1988/645) Repealed
227. 17Paragraph 17 Repealed
228. Banking Act 1987 (Exempt Transactions) Regulations 1988 (S.I. 1988/646) Repealed
229. 18Paragraph 18 Repealed
230. Control of Misleading Advertisements Regulations 1988 (S.I. 1988/915) Repealed
231. 19Paragraph 19 Repealed
232. Financial Services Act 1986 (Investment Advertisements) (Exemptions) Order 1995 (S.I. 1995/1266) Repealed
233. 20Paragraph 20 Repealed
234. Financial Services Act 1986 (Investment Advertisements) (Exemptions) (No. 2) Order 1995 (S.I. 1995/1536) Repealed
235. 21Paragraph 21 Repealed
236. The Public Offers of Securities Regulations 1995 (S.I. 1995/1537) Repealed
237. 22Paragraph 22 Repealed
238. Schedule 11: TRANSITIONAL PROVISIONS AND SAVINGS Repealed
239. Part I: RECOGNITION OF INVESTMENT FIRMS Repealed
240. European investment firms Repealed
241. 1Paragraph 1 Repealed
242. UK authorised investment firms Repealed
243. 2Paragraph 2 Repealed
244. Part II: AMENDMENTS OF FINANCIAL SERVICES ACT Repealed
245. Preliminary Repealed
246. 3Paragraph 3 Repealed
247. Statements of principle Repealed
248. 4Paragraph 4 Repealed
249. Conduct of business rules Repealed
250. 5Paragraph 5 Repealed
251. Financial resources rules Repealed
252. 6Paragraph 6 Repealed
253. Cancellation rules Repealed
254. 7Paragraph 7 Repealed
255. Notification regulations Repealed
256. 8Paragraph 8 Repealed
257. Compensation fund Repealed
258. 9Paragraph 9 Repealed
259. Unsolicited calls Repealed
260. 10Paragraph 10 Repealed
261. Supplemental Repealed
262. 11Paragraph 11 Repealed
263. Explanatory note