Regulatory Alerts2022-07-27
Added · Updated
Amendments to the Investment Services Rulebooks
The document amends the Investment Services Rules for Investment Services Providers, Part BI, by requiring Licence Holders authorised to deal on own account to submit Recovery and Resolution plans by 1 June of each year. It deletes Rule R1-1.8.2, corrects a spelling error in Rule R1-1.8.4, and updates cross-references in Rules R2-3.5.4 and RR2-3.5.7. A definition for Professional Investor Funds is added to the glossaries for Alternative Investment Funds, Notified Alternative Investment Funds, and Professional Investor Funds. All fee figures are removed from Part A of the relevant rulebooks, with applicable fees referenced in Subsidiary Legislation 370.03.
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