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Contents

Part I · Preliminary

Section 18

(1)

In this Part, "group", in relation to a regulated person, means any person who is

(a}

a parent undertaking of the regulated person;

(b}

a subsidiary undertaking of the regulated person;

(cf a subsi.diary undertaking of a parent undertaking of the regulated person;

(dJ a parent undertaking of a subsidiary undertaking of the regulated person;

(eJ an undertaking in which the regulated person or an undertaking mentioned in paragraph (a}, (b}, (c) or {d) has a participating interest.

(2)

"Participating interest" includes an interest held by a person who would be a participating interest for the purposes of this Order, if he were taken to be an undertaking.

Report

Part II

Part III

Market Operators and Market Infrastructure

Part IV

Self-Regulating Organisations

Part X

Part X.

Part VI

Public Company Statements and Reporting Requirements

Part VII

Capital Markets Services Licence and Representative'S Licence

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

General