SCHEDULE 3EXCEPTED PROCEEDINGS

10.  Proceedings under the Prevention of Fraud (Investments) Act 1958 in respect of an application for, or revocation of,—

(a)a licence to deal in securities; or

(b)an order by the Secretary of State declaring a person to be an exempted dealer for the purposes of that Act; or

(c)an order by the Secretary of State declaring a unit trust scheme to be an authorised unit trust scheme for the purposes of that Act,

(including proceedings under section 6 of that Act before the tribunal of inquiry constituted under that section in respect of a licence to deal in securities).