Securities Markets Order, 2013 · s 170

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s 170Notification of change of holder of capital markets services licence's business activity

In the event that 1363

(a} a holder of a capital markets services licence ceases to conduct business in any of the regulated activities to which the licence was granted;

(b} a holder of representative's licence ceases to act as a representative of the principal in relation to whom the representative's licence was granted;

(c} a change occurs in any matters, details of which are required by section 171 to be entered in the register of holders of capital markets services licences in relation to the holder of a capital markets services licence, the holder of a capital markets services licence shall furnish details of the event to the Authority in the prescribed form and manner not later than 14 days after the occurrence of the event.