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The Investment Services Regulations 1995
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- UK Statutory Instruments
- 1995 No. 3275
- PART V
- Regulation 28
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Statement of services covered by authorisation
28.—(1) Section 102 of the Financial Services Act (register of authorised persons and recognised organisations etc.) shall have effect as if it required the Board—
(a)upon it first appearing to it that a UK investment firm is a UK authorised investment firm to which this regulation applies, to issue the firm with a written statement specifying the core investment services which that firm is permitted to provide;
(b)upon becoming aware of the occurrence of any change in the range of core investment services which such a UK authorised investment firm is permitted to provide, to withdraw the previous statement and issue the firm in question with a further written statement reflecting the change; and
(c)upon a UK authorised investment firm ceasing to be a UK authorised investment firm to which this regulation applies, to withdraw from the firm the statement specifying the core investment services it was permitted to provide.
(2) This regulation applies to a UK authorised investment firm which is an authorised person.
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