Part XXIII Public Record, Disclosure of Information and Co-operation (ss 347-[354H)
Part XXIII Public Record, Disclosure of Information and Co-operation (ss 347-[354H)

347 The record of authorised persons etc

(1)     The [FCA] must maintain a record of every—

(a)     person who appears to the [FCA] to be an authorised person;

(b)     authorised unit trust scheme;

[(ba)     authorised contractual scheme;]

(c)     authorised open-ended investment company;

(d)     recognised scheme;

(e)     recognised investment exchange;

(f)     . . .

(g)     individual to whom a prohibition order relates;

(h)     approved person; . . .

[(ha)     person to whom subsection (2A) applies; . . .]

[(hb)     appointed representative to whom subsection (2B) applies; . . .]

[(hc)     appointed representative to whom subsection (2C) applies; and]

(i)     person falling within such other class (if any) as the [FCA] may determine.

(2)     The record must include such information as the [FCA] considers appropriate and at least the following information—

(a)     in the case of a person appearing to the [FCA] to be an authorised person—

(i)     information as to the services which he holds himself out as able to provide; and

(ii)     any address of which the [FCA] is aware at which a notice or other document may be served on him;

(b)     in the case of an authorised unit trust scheme, the name and address of the manager and trustee of the scheme;

[(ba)     in the case of an authorised contractual scheme, the name and address of the operator and depositary of the scheme;]

(c)     in the case of an authorised open-ended investment company, the name and address of—

(i)     the company;

(ii)     if it has only one director, the director; and

(iii)     its depositary (if any);

(d)     in the case of a recognised scheme, the name and address of—

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