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Criminal Justice Act 1993
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59“Professional intermediary”.U.K.
(1)For the purposes of this Part, a “professional intermediary” is a person—
(a)who carries on a business consisting of an activity mentioned in subsection (2) and who holds himself out to the public or any section of the public (including a section of the public constituted by persons such as himself) as willing to engage in any such business; or
(b)who is employed by a person falling within paragraph (a) to carry out any such activity.
(2)The activities referred to in subsection (1) are—
(a)acquiring or disposing of securities (whether as principal or agent); or
(b)acting as an intermediary between persons taking part in any dealing in securities.
(3)A person is not to be treated as carrying on a business consisting of an activity mentioned in subsection (2)—
(a)if the activity in question is merely incidental to some other activity not falling within subsection (2); or
(b)merely because he occasionally conducts one of those activities.
(4)For the purposes of section 52, a person dealing in securities relies on a professional intermediary if and only if a person who is acting as a professional intermediary carries out an activity mentioned in subsection (2) in relation to that dealing.
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