SCHEDULES

C1F1SCHEDULE 4ZZAProtection of supplies under section 233B: exclusions

Annotations:
Amendments (Textual)
Modifications etc. (not altering text)
C1

Sch. 4ZZA applied by S.I. 1994/2421, art. 4(3)(a) (as amended (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 12 para. 5 (with ss. 2(2), 5(2), 14(4)))

PART 2Persons involved in financial services

6Investment banks and investment firms

1

This paragraph applies where either the company or the supplier is an investment bank or an investment firm.

2

In this paragraph—

  • “investment bank” means a company or other entity that has permission under Part 4A of the Financial Services and Markets Act 2000 to carry on the regulated activity of—

    1. a

      safeguarding and administering investments,

    2. b

      managing an AIF or a UCITS,

    3. c

      acting as trustee or depositary of an AIF or a UCITS,

    4. d

      dealing in investments as principal, or

    5. e

      dealing in investments as agent;

  • “investment firm” has the same meaning as in the Banking Act 2009 (see section 258A of that Act), disregarding any order made under section 258A(2)(b) of that Act;

  • “regulated activity” has the meaning given by section 22 of the Financial Services and Markets Act 2000, taken with Schedule 2 to that Act and any order under that section.