Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2022-11-25.

previous regulator

    5 2
  1. (1) (in relation to a firm which was authorised under the Banking Act 1987 immediately before commencement or which was a European institution (as defined in the Banking Coordination (Second Council Directive) Regulations 1992) immediately before commencement ) the FSA.
  2. (2) (in relation to a firm which was a building society immediately before commencement) the Building Societies Commission.
  3. (3) (in relation to a firm which was a friendly society immediately before commencement) the Friendly Societies Commission.
  4. (4) (in relation to a firm authorised under the Insurance Companies Act 1982 immediately before commencement) the Treasury.
  5. (5) (in relation to an underwriting agent which obtained the permission relevant to that category under the Financial Services and Markets Act 2000 (Repeals, Transitional Provisions and Savings) Order 2001 (SI 2001/2636)) the Society of Lloyd's.
  6. (6) (in relation to a firm which was authorised, or which was an appointed representative , under the Financial Services Act 1986 immediately before commencement or which was a European investment firm (as defined in the Investment Services Regulations 1995 (SI 1995/3275)) immediately before commencement ) any of:
    1. (a) IMRO;
    2. (b) PIA;
    3. (c) SFA;
    4. (d) a recognised professional body; and
    5. (e) the FSA;
    if the firm (or, if relevant, its principal for the purposes of section 44 of the Financial Services Act 1986) was subject in carrying on business to the rules, requirements, regulations or guidance of that body.
  7. (7) (in relation to an ex-section 43 firm ) the FSA.
  8. (8) (in relation to a firm which was authorised under the Act immediately before 1 April 2013) the FSA.233