(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—
To view the latest version of this document and millions of others like it, sign-in to LexisLibrary or register for a free trial.
Existing user? Sign-in
Take a free trial
Take a free trial
0330 161 1234