Regulations 9C and 9D
Table
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Investment in relation to which the person has Part 4A permission immediately before 1st November 2007 |
Additional investments to which the person’s Part 4A permission is extended from 1st November 2007 |
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Option (excluding commodity options and options on a commodity future) within the meaning of the General Provisions and Glossary Instrument 2001 (2001/7) made by the Authority under the Act on 21st June 2001("the 2001 Instrument") as amended by the Handbook Administration (No 3) Instrument 2006 (2006/21) made by the Authority under the Act on 22nd June 2006 and the CRD (Consequential Amendments) Instrument 2006 (2006/53) made by the Authority under the Act on 23rd November 2006 |
Those options within the meaning of the 2001 Instrument as last amended by the Glossary (MIFID) Instrument 2007 (2007/1) made by the Authority under the Act on 25th January 2007 ("the 2007 Instrument") which are options falling within paragraph 10 of Section C of Anne |