Section 8

Self-regulating organisations.

Section 9

Applications for recognition by self-regulating organisations.

Section 10

Grant and refusal of recognition of self-regulating organisations.

Section 11

Revocation of recognition of self-regulating organisations.

Section 13

Alteration of rules of recognised self-regulating organisations for protection of investors.

Section 14

Notification requirements.

Section 15 except insofar as it has the effect of conferring authorisation

Certification by professional bodies.

Section 16

Professional bodies.

Section 17

Applications for recognition by professional bodies.

Section 18

Grant and refusal of recognition of professional bodies.

Section 19

Revocation of recognition of professional bodies.

Section 21

Notification requirements.

Section 36(2) and (3)

Investment exchanges.

Section 37 except insofar as it has effect in relation to a body or association of the kind described in section 40(1) of the Act

Grant and revocation of recognition of investment exchanges other than overseas investment exchanges.

Section 38(2) and (3)

Clearing houses.

Section 39 except insofar as it has effect in relation to a body or association of the kind described in section 40(1) of the Act

Grant and revocation of recognition of clearing houses other than overseas clearing houses.

Section 41

Notification requirements.

Section 46

Power to extend or restrict exemptions.

Section 48

Conduct of business rules.

Section 49

Financial resources rules.

Section 50

Modification of conduct of business and financial resources rules for particular cases.

Section 51

Cancellation rules.

Section 52

Notification regulations.

Section 54

Compensation Fund.

Section 55

Clients money.

Section 56 insofar as it is necessary in order to enable regulations to be made under section 56(1)

Unsolicited calls.

Section 102

Register of authorised persons and recognised organisations etc.

Section 103

Inspection of register.

Section 104(2) and (3)

Power to call for information.

Section 107

Appointment of auditors.

Section 110

Auditors for overseas business.

Section 112(1) to (4)

Application fees for recognition orders under Chapter III or IV of Part I of the Act.

Section 113(1)

Periodical fees — recognised self-regulating organisations, professional bodies, investment exchanges and clearing houses.

Section 119

Prevention of restrictive trade practices — recognised self-regulating organisations, investment exchanges, clearing houses.

Section 120

Modification of section 119 where recognition function is transferred.

Section 122

Reports by Director-General of Fair Trading.

Section 123

Investigations by Director-General of Fair Trading.

Section 124 5(1) to (7)

Consequential exemption from competition law — The Restrictive Trade Practices Act 19762.

Section 127

Modifications of Restrictive Trade Practices Act 1976 in relation to recognised professional bodies.

Section 129 insofar as is necessary to bring into force paragraphs 3(1), (2) and (4) and 4(1) to (4) of Schedule 10 to the Act, and those paragraphs of that Schedule

Application of investment business provisions to regulated insurance companies.

Section 138(1), (2) and (6)

Insurance brokers.

Section 140 insofar as is necessary to bring into force paragraphs 2 to 5, 7 to 16, 18 to 20, 24, 38 and 42 of Schedule 11 to the Act and those paragraphs of that Schedule

Friendly Societies.

Section 187 insofar as not yet in force

Exemption from liability in damages.

Section 190

Data Protection Act 19843.

Section 191

Occupational Pension Schemes.

Section 198(3)(b)

Power to petition for winding-up on information obtained under Act — Northern Ireland.

Section 200(1)(a) insofar as it has effect in relation to an application for a recognition order under Chapter III or IV of Part I of the Act

False and misleading statements in connection with applications.

Section 200(1)(b) insofar as it has effect in relation to a requirement imposed by or under any provision brought into force by this Order

False and misleading statements in purported compliance with requirements imposed by or under Act.

Section 200(3) and (4)

False and misleading statements as to recognised status.

Section 200(5) to (8) insofar as it has effect in relation to any provision brought into force by this Order

False and misleading statements — supplementary provisions.

Section 206(1) to (3)

Publication of information or advice.

Section 211(3) insofar as is necessary to bring into force paragraphs 4, 5, and 6 of Schedule 15 to the Act, and those paragraphs of that Schedule

Transitional provisions.

Section 212(2) insofar as is necessary to bring into force paragraph 27(b) of Schedule 16, and that paragraph of that Schedule

Consequential amendment.

Schedule 2

Requirements for recognition of self-regulating organisations.

Schedule 3

Requirements for recognition of recognised professional body.

Schedule 4

Requirements for recognition of recognised investment exchange.