Section 347(2)

The record must include such information as the FCA considers appropriate and at least the following information— in the case of a person appearing to the FCA to be an authorised person— information as to the services which he holds himself out as able to provide; and any address of which the FCA is aware at which a notice or other document may be served on him; in the case of an authorised unit trust scheme, the name and address of the manager and trustee of the scheme; in the case of an authorised contractual scheme, the name and address of the operator and depositary of the scheme; in the case of an authorised open-ended investment company, the name and address of— the company; if it has only one director, the director; and its depositary (if any); in the case of a recognised scheme, the name and address of— the operator of the scheme; and any representative of the operator in the United Kingdom; in the case of a recognised investment exchange ... the name and address of the exchange ...; in the case of an individual to whom a prohibition order , Part 9C prohibition order or Part 18 prohibition order relates— his name; and details of the effect of the order; in the case of a person who is an approved person— his name; the name of the authorised person concerned; if the approved person is performing a controlled function under an arrangement with a contractor of the authorised person concerned, the name of the contractor. ... whether or not the person is a senior manager; in the case of an approved person who is a senior manager in relation to an authorised person— whether a final notice has been given to the person under section 390; and if so, any information about the matter to which the notice relates which has been published under section 391(4). in the case of a person who is a Part 18 approved person— the person’s name; the name of the relevant recognised body concerned; if the Part 18 approved person is performing a designated senior management function under an arrangement with a contractor of the relevant recognised body concerned, the name of the contractor; whether a final notice has been given to the person under section 390; if so, any information about the matter to which the notice relates which has been published under section 391(4); in the case of a mortgage intermediary— the names of the persons within the management who are responsible for the activities specified by article 25A (arranging regulated mortgage contracts), article 36A (credit broking), article 53A (advising on regulated mortgage contracts) and article 53DA (advising on regulated credit agreements the purpose of which is to acquire land) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001; and whether the mortgage intermediary is a tied mortgage intermediary or not; in the case of an appointed representative to whom subsection (2B) applies, the name of the mortgage intermediary on whose behalf the appointed representative acts;

← 1 · All articles · 2A →

Source: legislation.gov.uk · retrieved 2026-09-04