Regulation 7
Power to make prohibition orders against other persons
of Securities and Futures (Representatives) (Transitional and Savings Provisions) Regulations 2010
Subsidiary LegislationIn forceProvision 7 of 7
Regulation 7
The following are also treated as relevant persons for the purposes of section 101A of the Act:
(a)
a person who was the holder of a licence granted under section 87 of the Act in force immediately before 26th November 2010 but who has ceased to be one at any time before that date;
(b)
a person who was a representative of an exempt financial institution immediately before 26th November 2010 but who has ceased to be one at any time before that date;
(c)
a person convicted of an offence under section 83(3) of the Act in force immediately 26th November 2010.