Modifications etc. (not altering text)
C1Sch. 3 continued (1.12.2001) by S.I. 2001/2657, arts. 1(1), 20(1); S.I. 2001/3538, art. 2(1) (which S.I. was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23)
Sch. 3 continued (1.12.2001) by S.I. 2001/3083, arts. 1(2), 20(1); S.I. 2001/3538, art. 2(1)
5(1)The body must have effective arrangements for the investigation of complaints relating to—
(a)the carrying on by persons certified by it of investment business in respect of which they are subject to its rules; and
(b)its regulation of investment business.
(2)Paragraph 4(4) above applies also to arrangements made pursuant to this paragraph.