SCHEDULES

SCHEDULE 9U.K. Exemptions

Part IIU.K. The Groups

Group 5— FinanceU.K.

[F15U.K.The provision of intermediary services in relation to any transaction comprised in item 1, 2, 3, 4 or 6 (whether or not any such transaction is finally concluded) by a person acting in an intermediary capacity.]

Textual Amendments

F1Sch. 9 Pt. II Group 5 Item 5, 5A substituted (10.3.1999) for Item 5 by S.I. 1999/594, art. 3