In this Act "investment product intermediary" means an investment business firm or a solicitor holding a practising certificate (within the meaning of the Solicitors Acts, 1954 to 1994) who does all or any of the following: (a) acts as a deposit agent or as a deposit broker, (b) provides a service for the reception and transmission of orders to a product producer in - (i) units or shares in undertakings for collective investments in transferable securities within the meaning of the Regulations of 1989, (ii) units in a unit trust, (iii) other collective investment scheme instruments, (iv) shares in a company which are listed on a stock exchange, (v) bonds listed on a stock exchange or prize bonds, (vi) tracker bonds, or (vii) [deleted] (viii) Personal Retirement Savings Accounts within the meaning of Part X of the Pensions Act, 1990.
Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 1 October 2018 - onwards