http://www.legislation.gov.uk/id/uksi/1995/3275/schedule/7

http://www.legislation.gov.uk/uksi/1995/3275/schedule/7/paragraph/42/made

The Investment Services Regulations 1995

Credit licences

King's Printer of Acts of Parliament

2018-01-19

FINANCIAL SERVICES

The Regulations give effect to provisions of Council Directive 93/22/EEC on investment services in the securities field (OJ No. L141, 10.5.93, p.27) (“the Investment Services Directive”). They also give effect to provisions of Council Directive 93/6/EEC on the capital adequacy of investment firms and credit institutions (OJ No. L141, 15.3.93, p.1). Most of the Regulations come into force on 1st January 1996. Two of them (one relating to the position of appointed representatives under the Financial Services Act 1986 and the other relating to the position of recognised professional bodies under that Act) come into force of 1st January 1997.

The Investment Services Regulations 1995

Instrument

Bank of England Act 1998

s.21(b)

The Investment Services Regulations 1995

reg.26(6)

Bank of England Act 1998

s.25(2)

The Investment Services Regulations 1995

reg.56(3)

Bank of England Act 1998

s.23

Sch.1 Pt.II

para.45(9)

The Investment Services Regulations 1995

Sch.6

para.8(2)

Bank of England Act 1998

s.23

Sch.1 Pt.II

para.45(11)

The Investment Services Regulations 1995

reg. 2(1A)

The Banking Consolidation Directive (Consequential Amendments) Regulations 2000

reg. 14(3)

reg. 1

The Investment Services Regulations 1995

reg. 2(2B)

The Banking Consolidation Directive (Consequential Amendments) Regulations 2000

reg. 14(3)

reg. 1

The Investment Services Regulations 1995

Regulations

The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001

art. 3(2)(c)

art. 1

Investment Services Regs

The Investment Services Regulations 1995

The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Information Requirements and Investigations) Order 2001

art 12

Investment Services Regs

The Investment Services Regulations 1995

Regulations

The Financial Services and Markets Act 2000 (Transitional Provisions) (Controllers) Order 2001

art. 3-15

reg. 1

The Investment Services Regulations 1995

reg. 48(10)

The Financial Institutions (Prudential Supervision) Regulations 1996

reg. 11(2)

reg. 1(2)

The Investment Services Regulations 1995

Sch. 8

para. 5a

The Financial Institutions (Prudential Supervision) Regulations 1996

reg. 11(3)

Sch. 2

reg. 1(2)

The Investment Services Regulations 1995

reg. 2(2B)

The Financial Institutions (Prudential Supervision) Regulations 1996

Sch. 5

para. 11

reg. 1(2)

SCHEDULE 7OTHER AMENDMENTS OF FINANCIAL SERVICES ACT

Activities constituting investment business

42

1

Paragraph 17 of Schedule 1 to the Act57 (investments and investment business) shall have effect as if any reference to authorised persons, or an authorised person, included a reference to European investment firms, or a European investment firm, carrying on home-regulated investment business in the United Kingdom.

2

Paragraph 18 of that Schedule shall have effect as if the reference in sub-paragraph (2) to an authorised person included a reference to a European investment firm carrying on home-regulated investment business in the United Kingdom.

3

Paragraph 26 of that Schedule shall have effect as if any reference to an authorised person, or authorised persons, included a reference to a European investment firm, or European investment firms, carrying on home-regulated investment business in the United Kingdom.