Date-stamp loading
Version status: Partly in force | Document consolidation status: Updated to reflect all known changes
Version date: 29 June 2023 - onwards
  Version 15 of 15    

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) [deleted]

(g) individual to whom a prohibition order, Part 9C prohibition order or Part 18 prohibition order relates;

(h) approved person;

(hza) Part 18 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) an

Comparing proposed amendment...