Section 39(1AA)

This subsection applies to a person— unless the person is entered on the applicable register. if the person’s principal is an investment firm , a qualifying credit institution, or a person mentioned in Article 3.1 (optional exemptions) of the markets in financial instruments directive, and so far as the business for which the person’s principal has accepted responsibility is selling, or advising clients on, structured deposits ...,

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