Version status: Partly in force | Document consolidation status: Updated to reflect all known changes
Published date: 4 July 1995
    Version 1 of 1    

Investment Intermediaries Act, 1995 (No. 11)

Introductory Text
Acts Referred to
Part I Preliminary and General (ss. 1-7)
In force
1. Short title and commencement.
In force
2. Interpretation.
In force
3. Service of notices.
In force
4. Supervisory authority.
In force
5. Amendment of definitions.
In force
6. Expenses.
In force
7. Laying of regulations before Houses of the Oireachtas.
Part II Authorisation (ss. 8-19)
In force
8. Competent authority.
In force
9. Prohibition on acting as an authorised investment business firm.
In force
10. Grant of authorisation.
In force
11. Requests from Commission.
Repealed
12. Establishment of branches outside the State.
In force
13. Existing investment business firms.
Deleted
13A. Existing insurance intermediaries.
In force
14. Imposition of conditions or requirements on authorised investment business firms.
In force
15. Refusal to consent to amendment of memorandum and articles of association.
In force
16. Supervisory authority may revoke authorisation in certain circumstances.
In force
17. Register of investment business firms.
In force
18. Asset and liability ratios and structures of authorised investment business firms.
In force
19. Maintenance of books and records by investment business firms.
Part III Regulation and Supervision of Investment Business Firms (ss. 20-24)
In force
20. General functions of supervisory authorities.
In force
21. Directions by supervisory authority.
In force
22. Winding-up on application to Court.
In force
23. Restrictions on advertising.
In force
24. Exemption from restrictions on advertising.
Part IV Investment Product Intermediaries (ss. 25-31A)
In force
25. Definition of investment product intermediary.
Deleted
25A. Acting as insurance intermediary.
Deleted
25B. Acting as insurance broker.
Deleted
25C. Acting as insurance agent.
Deleted
25D. Acting as tied insurance agent.
Deleted
25E. Provisions regarding scope of agency.
Deleted
25F. Acceptance by insurance intermediary of insurance proposals.
Deleted
25G. Treatment of premiums paid to insurance intermediaries.
In force
25H. Register of tied agents
In force
25I. Appointment of tied agents - provisions governing such appointments and consequential matters
In force
26. Definition of restricted activity investment product intermediaries.
In force
27. Requirements for investment product intermediaries.
In force
28. Obligations on product producers.
In force
29. Disclosure obligations of restricted activity investment product intermediaries.
In force
30. Issue of receipts.
In force
31. Register of investment product intermediaries.
Deleted
31A. Scope of Part IV.
Part V Auditors (ss. 32-35)
In force
32. Notification of changes of auditor.
In force
33. Auditors for investment business firms which are not incorporated bodies and duties of auditors.
In force
34. False statements to auditors.
In force
35. Power to require a second audit.
Part VI Probity, Codes of Conduct and Miscellaneous Provisions (ss. 36-54)
In force
36. Probity and competence of employed persons.
In force
37. Code of conduct.
In force
38. Acquiring transactions.
In force
39. Notification of certain transactions.
In force
40. Approval of acquiring transactions.
In force
41. Period for implementing acquiring transactions.
In force
42. Imposition of conditions or requirements in respect of proposed acquiring transactions.
In force
43. Limitation on validity of certain acquiring transactions.
In force
44. Refusal to approve acquiring transactions.
In force
45. Appeals to Irish Financial Services Appeals Tribunal.
In force
46. Inquiries into certain acquiring transactions.
In force
47. Obligation to inform a supervisory authority of shareholdings.
In force
48. Contravention of terms of approval of acquiring transactions.
In force
49. Amendment of section 16 of Central Bank Act, 1989.
Repealed
50. Investor compensation.
Repealed
51. Bonding.
In force
52. Client money and investment instruments.
In force
53. Exemption from liability for damages.
In force
54. Personal liability of officers.
Part VII Approved Professional Bodies (ss. 55-63)
In force
55. Interpretation (Part VII).
In force
56. Grant of approval to operate as an approved professional body.
In force
57. Interim approval.
In force
58. Imposition of conditions or requirements on approved professional bodies.
In force
59. Refusal to consent to amendment of rules, etc.
In force
60. Appeals on refusal to grant approval, etc.
In force
61. Bank may revoke approval of professional body.
In force
62. Maintenance of books and records.
In force
63. Authorisation of certified persons.
Part VIII Enforcement, Offences and Penalties (ss. 64-79)
Repealed
64. Appointment of authorised officers.
Repealed
65. Powers of authorised officers.
In force
66. Appointment of inspector by Court.
In force
67. Power of inspector to extend investigation.
In force
68. Direction to inspector by Court.
In force
69. Powers of inspection.
In force
70. Expenses of and fees relating to an investigation.
In force
71. Inspectors' reports and proceedings thereon.
In force
72. Powers of Court following consideration of reports.
In force
73. Appointment of inspector by a supervisory authority.
Repealed
74. Power to make determinations for breaches of conditions or requirements.
In force
75. Search and seizure.
In force
76. Admissibility in evidence of reports of inspectors.
In force
77. Privilege.
In force
78. Consent to publication of information.
In force
79. Offences and penalties.
Part IX Amendment of Companies Act, 1990 (s. 80)
In force
80. Amendment of Companies Act, 1990.
Partly in force
First Schedule Supplementary Provisions in Relation to a Direction by Supervisory Authority under Section 21 of this Act
Repealed
Second Schedule Supplementary Provision in Relation to a Committee appointed under Section 74 of this Act