C1Part VI Official Listing

Annotations:
Modifications etc. (not altering text)
C1

Pt. 6 (ss. 72-103) applied (with modifications) (1.12.2001) by S.I. 1995/1537, Sch. 4 (as amended (1.12.2001) by S.I. 2001/3649, arts. 1, 511)

F1Registered investors

Annotations:
Amendments (Textual)
F1

Ss. 84-87R and cross-headings substituted for ss. 84-87 (1.7.2005) by The Prospectus Regulations 2005 (S.I. 2005/1433), reg. 2(1), Sch. 1 para. 5

87RRegister of investors

 

1

The competent authority must establish and maintain, in accordance with this section and prospectus rules, a register of investors for the purposes of section 86.

2

An individual may not be entered in the register unless—

a

he is resident in the United Kingdom; and

b

he meets at least two of the criteria mentioned in Article 2.2 of the prospectus directive.

3

A company may not be entered in the register unless—

a

it falls within the meaning of “small and medium-sized enterprises” in Article 2.1 of the prospectus directive; and

b

its registered office is in the United Kingdom.

4

A person who does not fall within subsection (2) or (3) may not be entered in the register.