Regulation 111(2) and (3)
1. For the purposes of regulation 111(2) (prescribed persons to whom information may be provided) the persons are –
(a)a person who is or has been an authorised person within the meaning of the Financial Services and Markets Act 2000(1) (“the 2000 Act”) (“an authorised person”);
(b)an appointed representative within the meaning of section 39 of the 2000 Act (“an appointed representative”);
(c)a recognised self-regulating organisation within the meaning of the 2000 Act;
(d)a designated professional body within the meaning of the 2000 Act;
(e)the Financial Services Authority having the functions conferred on it by or under the 2000 Act;
(f)the Investors Compensation Scheme Limited;
(g)a professional indemnity insurer of an authorised person or an appointed representative;
(h)the Chartered Accountants Compensation Scheme Limited;
(i)the Solicitors Indemnity Fund Limited;
(j)a person or body arbitrating or adjudicating in, or investigating or considering, a complaint brought by such an individual as is mentioned in Article 164 of the Pensions Order against an authorised person or an appointed representative;
(k)A person or body appointed to act on behalf of any of the above.
2. For the purposes of regulation 111(3) (persons on whom fees may be imposed) the persons are any person listed in sub-paragraphs (a) to (d) and (f) to (i) of paragraph 1 and any person or body appointed to act on behalf of any of those persons.