SCHEDULES
C1SCHEDULE 3 Requirements for recognition of professional body
Annotations:
Modifications etc. (not altering text)
Investigation of complaints
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.
Sch. 3 continued (1.12.2001) by S.I. 2001/2657, arts. 1(1), 20(1); S.I. 2001/3538, art. 2(1) (which S.I. was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23)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)