Securities Markets Order, 2013 · As enacted
171. Public register of holders of capital markets services licences
Official textFrom Attorney General's Chambers, unchanged
The Authority shall maintain and make available to the public a continuously updated register of holders of capital markets services licences and representative's licences in such form as it thinks fit, including electronic register, that specifies
(a}
for the holder of a capital markets services licence-
his name;
the address of the principal place of business at which he carries on the business in respect of which the licence is held;
the regulated activity or activities to which the licence relates;
where the business is carried on under a name or style other than the name of the holder of the capital markets services licence, the name or style under which the business is carried on and the location of the business; and
such other information as may be determined by the
Authority;
(bJ for the holder of a representative's licence -
his name;
the name of his principal in relation to whom the licence was granted;
the regulated activity or activities to which the licence relates;
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(iv} where the business of his principal is carried on under a name or style other than the name of the principal, the name or style under which the business is carried on and the location of the business; and
such other information as may be determined by the
Authority.
Part VIII
Books, Audit and Client'S Assets
Part IX
Part X
Intervention Powers of Authority
Part XI
Complaints Committee and Investor Compensation Scheme
Part XII
Financial Markets Services Panel
Part XIII