1. UK Financial Services Law
  2. Legislation (UK)
  3. Statutory Instruments
  4. 2007
Date-stamp loading
  1. Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 [SI 2007 No. 126]
  2. Part 3 Transitional and saving provisions (regs. 5-10)
  3. Regulation 9C Transitional provision for investment firms and credit institutions in relation to options, futures and contracts for differences
Previous Next
Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Regulation 9C Transitional provision for investment firms and credit institutions in relation to options, futures and contracts for differences

Revoked from 3 January 2018

(1) Any person who immediately before 1st November 2007 -

(a) was an investment firm or a credit institution (in each case within the meaning of the principal Order as amended by the 2006 Order); and

(b) had a Part IV permission to carry on an activity of the kind specified by article 14, 21, 25, 37 or 53 of the principal Order in relation to an investment specified in the first column in the table in Schedule 8,

is from 1st November 2007 also to be treated as having a Part IV permission to carry on that kind of activity in relation to an investment specified in the second column of the table opposite that investment (in so far as he does not already have such permission).

(2) Where the person concerned gave written notice to the Authority on or before 1st October 2007 to that effect, paragraph (1) shall not apply to him.

Comparing proposed amendment...
Previous Next