Legalize / United Kingdom / Northern Ireland / Ni-Statutory-Rule

Open-Ended Investment Companies Regulations (Northern Ireland) 2004

Type Ni-Statutory-Rule

Publication 2004-08-10

Last updated 2013-04-01

State In force

Jurisdiction Northern Ireland

Department Government Printer for Northern Ireland

Source legislation.gov.uk

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articles Not indexed

Reform history JSON API

In Article 228(1) of the 1986 Order¹⁷ (definitions for Part VII) omit the definition of “investment company with variable capital” and insert after the definition of “material interest” –

“open-ended investment company” has the same meaning as in the Open-Ended Investment Companies Regulations (Northern Ireland) 2004;

6

In Article 667(2) of the 1986 Order (exemptions from application of Order to unregistered companies), for sub-paragraph (d)¹⁸ substitute –

(d) any open-ended investment company within the meaning of the Open-Ended Investment Companies Regulations (Northern Ireland) 2004.

Pension Schemes (Northern Ireland) Act 1993 (c. 49)

7

In section 34(6)¹⁹ of the Pension Schemes (Northern Ireland) Act 1993 (permitted forms for appropriate schemes), for paragraph (d) substitute –

(d) an open-ended investment company within the meaning of the Open-Ended Investment Companies Regulations (Northern Ireland) 2004.

The Company Directors Disqualification (Northern Ireland) Order 2002(S.I. 2002/3150 (N.I.4))

8

In Schedule 1 to the Company Directors Disqualification (Northern Ireland) Order 2002 (matters for determining unfitness of directors), for paragraph 6 substitute –

(6) In the application of this Part in relation to any person who is a director of an open-ended investment company, any reference to a provision of the Companies Order is to be taken to be a reference to the corresponding provision of the Open-Ended Investment Companies Regulations (Northern Ireland) 2004 or of any rules made under regulation 6 of those Regulations (Financial Services Authority rules).

Signed

Sealed with the Official Seal of the Department of Enterprise, Trade and Investment on 10th August 2004.

James McKeown — A senior officer of the — Department of Enterprise, Trade and Investment

Explanatory note

(This note is not part of the Regulations.)

These Regulations are made under section 1 of the Open-Ended Investment Companies Act (Northern Ireland) 2002. They make provision for facilitating the carrying on of collective investment by means of open-ended investment companies and regulate such companies.

Part I of the Regulations deals with matters of citation, commencement, extent and interpretation of terms used in the Regulations.

Part II deals with the formation, supervision and control of an open-ended investment company and the registration of certain details with the Financial Services Authority (the FSA). Regulation 5 and Schedule 1 are concerned with the custody of the company’s property and with the company’s depositary, who is the person to whom the company’s property is entrusted. Regulation 6 allows the FSA to make rules in relation to open-ended investment companies.

Regulations 12 to 17 relate to the authorisation by the FSA of an open-ended investment company. The FSA must be satisfied that the company will, if formed and authorised, meet the requirements in regulation 15. There is provision for representations to be made against any refusal to authorise a company.

Regulations 18 to 20 concern the name used by an open-ended investment company. Regulations 21 and 22 contain provisions requiring a company to seek prior approval from the FSA for certain changes, including changes to its instrument of incorporation.

Regulations 23 to 29 confer powers on the FSA to intervene in the affairs of a company once it has been authorised. The FSA may revoke an authorisation, give directions and make applications to the High Court. Regulation 30 confers power on the Department of Enterprise, Trade and Investment and the FSA to appoint competent persons to investigate the affairs of an open-ended investment company and regulations 31 to 33 contain provisions as to winding up and dissolution of such companies.

Part III sets out the corporate framework within which an open-ended investment company will operate, as supplemented by rules made by the FSA under regulation 6. Regulations 34 to 36 concern directors and the inspection of their service contracts. Regulation 37 makes provision for general meetings and regulations 38 to 44 concern the capacity of a company and the validity of certain transactions involving its directors. Regulations 45 to 52 contain provisions about the nature of the shares which a company may issue, share certificates, share transfers and the maintenance, closure and rectification of a register of shareholders which must be kept in accordance with Schedule 3. Regulations 53 to 65 concern the operation of an open-ended investment company, including details which must be included in correspondence (regulations 54 and 55), the execution and authentication of documents (regulations 56 to 60), liability and exemptions from liability (regulations 61 and 62), fraudulent trading (regulation 64) and the powers which a company has to make provision for its employees on the cessation or transfer of business (regulation 65). Regulations 66 to 69 and Schedule 5 deal with accounts and auditors. Regulation 70 and Schedule 6 concern the merger and division of open-ended investment companies.

Part IV deals with the FSA’s registration functions in relation to open-ended investment companies. The FSA must keep a register of such companies and must allocate registered numbers to them (regulations 71 and 72). The FSA’s records are open to inspection (regulation 75) and it must publish, in the Belfast Gazette, notice of the issue or receipt by it of certain documents (regulation 77).

Part V contains miscellaneous provisions, including provisions about offences and minor and consequential amendments to legislation. Regulation 84 revokes the Open-Ended Investment Companies (Investment Companies with Variable Capital) Regulations (Northern Ireland) 1997 and makes various consequential provisions.

Footnotes

2002 c. 13 (N.I.); see section 2 for the definition of “the Department”

2000 c. 8

S.I. 1986/1032 (N.I. 6)

S.I. 1989/2405 (N.I. 19)

O.J. No. L375, 31.12.1985, p. 3-18, as last amended by European Parliament and Council Directive 2001/107/EC (O.J. No. L41, 13.2.2002, p. 20-34) and European Parliament and Council Directive 2001/108/EC (O.J. No. L41, 13.2.2002, p. 35-42)

S.R. 1989 No. 216. The Regulations were modified by virtue of section 2(1) of the European Economic Area Act 1993 (c. 51) so that, for any limitation in the Regulations that proceeds by reference to the Communities, there is substituted a corresponding limitation relating to the European Economic Area

Article 663 was amended by S.R. 1993 No. 198 and by paragraph 1 of Part I of the Schedule to the Limited Liability Partnerships Act (Northern Ireland) 2002 (c. 12 (N.I.))

Article 104A was inserted by Article 8(3) of the Companies (No. 2) (Northern Ireland) Order 1990 (S.I. 1990/1504 (N.I. 10)) and amended by section 79(14) of, and Part II of Schedule 6 to, the Criminal Justice Act 1993 (c. 36) and S.I. 2001/3649

S.R. 1997 No. 251

1963 c. 24 (N.I.)

S.I. 1990/593 (N.I. 5)

Article 113 was amended by Article 381 of, and paragraph 5 of Part I of Schedule 9 to, the Insolvency (Northern Ireland) Order 1989

Paragraph (f) of section 1(4) was inserted by S.R. 1997 No. 251

Article 36(1)(bb) was inserted by S.R. 1997 No. 251

Article 207(2A) was inserted by S.R. 1994 No. 2 and amended by S.R. 1997 No. 251 and S.I. 2001/3649

Article 217 was substituted by S.R. 1994 No. 2 and amended by S.R. 1997 No. 251

Article 228(1) was substituted by S.R. 1994 No. 2 and amended by S.R. 1997 No. 251 and S.I. 2001/3649

Article 667(2)(d) was inserted by S.R. 1997 No. 251

Section 34(6)(d) was inserted by S.R. 1997 No. 251

Editorial notes

Reg. 6 in operation at 15.9.2004, see reg. 1(1)(a)

Sch. 7 para. 7 in operation at 1.11.2004, see reg. 1(1)(b)

Sch. 5 para. 20 in operation at 1.11.2004, see reg. 1(1)(b)

Sch. 5 para. 11 in operation at 1.11.2004, see reg. 1(1)(b)

Sch. 6 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

Sch. 6 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

Sch. 6 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 11 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 7 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 25 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 30 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 8 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 9 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 27 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 24 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 10 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 80 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 81 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 1 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 2 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 42 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 79 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 13 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 84 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 3 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 4 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 5 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 12 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 14 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 15 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 16 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 17 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 18 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 19 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 20 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 21 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 22 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 23 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 26 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 28 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 29 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 31 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 32 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 33 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 34 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 35 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 36 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 37 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 38 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 39 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 40 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 41 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 43 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 44 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 45 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 46 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 47 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 48 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 49 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 50 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 51 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 52 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 53 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 54 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 55 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 56 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 57 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 58 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 59 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 60 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 61 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 62 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 63 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 64 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 65 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 66 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 67 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 68 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 69 in operation at 1.11.2004, see reg. 1(1)(b)

Reg. 70 in operation at 1.11.2004, see reg. 1(1)(b)

100

Reg. 71 in operation at 1.11.2004, see reg. 1(1)(b)

101

Reg. 72 in operation at 1.11.2004, see reg. 1(1)(b)

102

Reg. 73 in operation at 1.11.2004, see reg. 1(1)(b)

103

Reg. 74 in operation at 1.11.2004, see reg. 1(1)(b)

104

Reg. 75 in operation at 1.11.2004, see reg. 1(1)(b)

105

Reg. 76 in operation at 1.11.2004, see reg. 1(1)(b)

106

Reg. 77 in operation at 1.11.2004, see reg. 1(1)(b)

107

Reg. 78 in operation at 1.11.2004, see reg. 1(1)(b)

108

Reg. 82 in operation at 1.11.2004, see reg. 1(1)(b)

109

Reg. 83 in operation at 1.11.2004, see reg. 1(1)(b)

110

Sch. 1 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

111

Sch. 1 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

112

Sch. 1 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

113

Sch. 1 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

114

Sch. 1 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

115

Sch. 1 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

116

Sch. 2 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

117

Sch. 2 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

118

Sch. 2 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

119

Sch. 2 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

120

Sch. 2 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

121

Sch. 2 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

122

Sch. 3 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

123

Sch. 3 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

124

Sch. 3 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

125

Sch. 3 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

126

Sch. 3 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

127

Sch. 3 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

128

Sch. 3 para. 7 in operation at 1.11.2004, see reg. 1(1)(b)

129

Sch. 3 para. 8 in operation at 1.11.2004, see reg. 1(1)(b)

130

Sch. 3 para. 9 in operation at 1.11.2004, see reg. 1(1)(b)

131

Sch. 3 para. 10 in operation at 1.11.2004, see reg. 1(1)(b)

132

Sch. 3 para. 11 in operation at 1.11.2004, see reg. 1(1)(b)

133

Sch. 3 para. 12 in operation at 1.11.2004, see reg. 1(1)(b)

134

Sch. 4 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

135

Sch. 4 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

136

Sch. 4 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

137

Sch. 4 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

138

Sch. 4 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

139

Sch. 4 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

140

Sch. 4 para. 7 in operation at 1.11.2004, see reg. 1(1)(b)

141

Sch. 4 para. 8 in operation at 1.11.2004, see reg. 1(1)(b)

142

Sch. 4 para. 9 in operation at 1.11.2004, see reg. 1(1)(b)

143

Sch. 4 para. 10 in operation at 1.11.2004, see reg. 1(1)(b)

144

Sch. 4 para. 11 in operation at 1.11.2004, see reg. 1(1)(b)

145

Sch. 4 para. 12 in operation at 1.11.2004, see reg. 1(1)(b)

146

Sch. 5 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

147

Sch. 5 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

148

Sch. 5 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

149

Sch. 5 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

150

Sch. 5 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

151

Sch. 5 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

152

Sch. 5 para. 7 in operation at 1.11.2004, see reg. 1(1)(b)

153

Sch. 5 para. 8 in operation at 1.11.2004, see reg. 1(1)(b)

154

Sch. 5 para. 9 in operation at 1.11.2004, see reg. 1(1)(b)

155

Sch. 5 para. 10 in operation at 1.11.2004, see reg. 1(1)(b)

156

Sch. 5 para. 12 in operation at 1.11.2004, see reg. 1(1)(b)

157

Sch. 5 para. 13 in operation at 1.11.2004, see reg. 1(1)(b)

158

Sch. 5 para. 14 in operation at 1.11.2004, see reg. 1(1)(b)

159

Sch. 5 para. 15 in operation at 1.11.2004, see reg. 1(1)(b)

160

Sch. 5 para. 16 in operation at 1.11.2004, see reg. 1(1)(b)

161

Sch. 5 para. 17 in operation at 1.11.2004, see reg. 1(1)(b)

162

Sch. 5 para. 18 in operation at 1.11.2004, see reg. 1(1)(b)

163

Sch. 5 para. 19 in operation at 1.11.2004, see reg. 1(1)(b)

164

Sch. 6 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

165

Sch. 6 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

166

Sch. 7 para. 1 in operation at 1.11.2004, see reg. 1(1)(b)

167

Sch. 7 para. 2 in operation at 1.11.2004, see reg. 1(1)(b)

168

Sch. 7 para. 3 in operation at 1.11.2004, see reg. 1(1)(b)

169

Sch. 7 para. 4 in operation at 1.11.2004, see reg. 1(1)(b)

170

Sch. 7 para. 5 in operation at 1.11.2004, see reg. 1(1)(b)

171

Sch. 7 para. 6 in operation at 1.11.2004, see reg. 1(1)(b)

172

Sch. 7 para. 8 in operation at 1.11.2004, see reg. 1(1)(b)

173

Words in reg. 2(3) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 236 (with arts. 6, 11, 12)

174

Words in reg. 13(5) substituted (6.4.2008) by virtue of The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 237 (with arts. 6, 11, 12)

175

Words in Sch. 5 para. 11(1) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 238(a) (with arts. 6, 11, 12)

176

Words in Sch. 5 para. 11(2) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 238(b)(i) (with arts. 6, 11, 12)

177

Words in Sch. 5 para. 11(2) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 238(b)(ii) (with arts. 6, 11, 12)

178

Words in Sch. 6 para. 2 substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(2)(a) (with arts. 6, 11, 12)

179

Words in Sch. 6 para. 2 substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(2)(b) (with arts. 6, 11, 12)

180

Words in Sch. 6 para. 3 substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(3)(a) (with arts. 6, 11, 12)

181

Words in Sch. 6 para. 3 substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(3)(b) (with arts. 6, 11, 12)

182

Sch. 6 para. 5 substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(4) (with arts. 6, 11, 12)

183

Words in Sch. 6 para. 6(1) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(5)(a) (with arts. 6, 11, 12)

184

Words in Sch. 6 para. 6(2) substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(5)(b) (with arts. 6, 11, 12)

185

Sch. 6 para. 6(3)(h) omitted (6.4.2008) by virtue of The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(5)(c)(i) (with arts. 6, 11, 12)

186

Words in Sch. 6 para. 6(3)(i) omitted (6.4.2008) by virtue of The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), art. 2(2), Sch. 1 para. 239(5)(c)(ii) (with arts. 6, 11, 12)

187

Words in Regulations substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(2)

188

Words in reg. 2 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(3)

189

Words in reg. 7(3) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(a)(i)

190

Words in reg. 7(3) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(a)(ii)

191

Reg. 7(3)(a)(b) omitted (1.4.2013) by virtue of The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(a)(iii)

192

Words in reg. 7(3) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(a)(iv)

193

Words in reg. 7(4) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(i)

194

Words in reg. 7(4) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(ii)

195

Words in reg. 7(4)(a) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(aa), (b)(iii)

196

Word in reg. 7(4)(a) omitted (1.4.2013) by virtue of The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(iii), (bb)

197

Words in reg. 7(4)(b) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(aa), (b)(iv)

198

Words in reg. 7(4)(b) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(iv), (bb)

199

Words in reg. 7(4)(c) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(v)

200

Words in reg. 7(4)(d) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(aa), (b)(vi)

201

Words in reg. 7(4)(d) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(4)(b)(vi), (bb)

202

Words in reg. 10 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(5)(a)

203

Word in reg. 10 heading substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(5)(b)

204

Words in reg. 25(6) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(6)

205

Words in reg. 27(15) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(7)

206

Words in reg. 42(6) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(8)

207

Words in reg. 79 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 87(9)

FCA rules

Modification or waiver of FCA rules

The regulator’s procedures

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