The requirements set out in this Handbook are imposed under the Investment Intermediaries Act, 1995 ("the Act") and apply to those investment business firms which come within the meaning of an investment intermediary as defined in Part 7 of this Handbook. Please refer to Part 7 of this Handbook for the meaning of any term shown in bold throughout this text.
This Handbook is effective from 1 October 2014 and replaces the Handbook of Prudential Requirements for Authorised Advisors and Restricted Intermediaries introduced in July 2006.
1.1 Legislative Basis
The requirements set out in this Handbook are imposed on investment intermediaries under Section 14 of the Act. The Central Bank considers it fit and appropriate to impose such requirements on investment intermediaries relating to the proper and orderly regulation and supervision of such firms and the protection of investors.
It is the responsibility of each investment intermediary to ensure it complies with all applicable legislative
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