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SIB - CD3 - Legacy Rulebooks

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SIB - CD3 - Legacy Rulebooks Powered By Docstoc
					           The Securities & Investments Board (SIB 3)
   SIB Rules and Regulations Amendments and Additions Release 1 The
   Financial Services (Fees for Permitted Persons) Regulations 1987- 1 Dec
 1 1987
   SIB Rules and Regulations Amendments and Additions Release 2 The
   Financial Services (Financial Resources)
 2 (Amendment) Rules 1987 - 7 Oct 1987
   SIB Rules and Regulations Amendments and Additions Release 3 The
 3 Financial Services (Fees) Regulations 1987 - 17 Dec 1987
   SIB Rules and Regulations Amendments and Additions Release 4 The
 4 Financial Services (Cancellation) Rules 1987 - 17 Dec 1987
   SIB Rules and Regulations Amendments and Additions Release 5 The
   Financial Services (Notification by Recognised Self-Regulating
 5 Organisations) Regulations 1987 - 17 Dec 1987
   SIB Rules and Regulations Amendments and Additions Release 6 The
 6 Financial Services (Fees) Regulations 1988 - 7 Jan 1988
   SIB Rules and Regulations Amendments and Additions Release 7 The
   Financial Services (Periodical Fees for Recognised Bodies) Regulations
   1988
   The Financial Services (Notification Fees) Regulations 1988- 17 Mar
 7 1988
   SIB Rules and Regulations Amendments and Additions Release 8 The
   Financial Services (Conduct of Business) (Amendment) Rules 1988 - 17
 8 Mar 1988
   SIB Rules and Regulations Amendments and Additions Release 9 The
   Financial Services (Notification by Recognised Self-Regulating
 9 Organisations) Regulations 1987 - 17 Mar 1988
   SIB Rules and Regulations Amendments and Additions Release 10 The
   Financial Services (Financial Resources)
10 (Amendment) Rules 1988 - 17 Mar 1988
     SIB Rules and Regulations Amendments and Additions Release 11 The
     Financial Services (Oil Markets)
11   (Amendment) Rules and Regulations 1988 - 31 Mar 1988
     SIB Rules and Regulations Amendments and Additions Release 12 The
     Financial Services (Periodical and Notification Fees) Regulations - 21
12   April 1988
     SIB Rules and Regulations Amendments and Additions Release 13 The
     Financial Services (Miscellaneous Amendments) Rules and Regulations -
13   21 April 1988
     SIB Rules and Regulations Amendments and Additions Release 14 The
     Financial Services (Transitional) Rules and Regulations 1988 - 21 April
14   1988
     SIB Rules and Regulations Amendments and Additions Release 15 The
     Financial Services (Authorised Unit Trust Schemes) Regulations 1988 -
15   27 April 1988

   SIB Rules and Regulations Amendments and Additions Release 16 The
16 Financial Services (Scheme Particulars) Regulations 1988 - 27 April 1988
   SIB Rules and Regulations Amendments and Additions Release 17 The
   Financial Services (Recognised Schemes' Facilities in the United
   Kingdom)
17 Regulations 1988 - 27 April 1988
         SIB Rules and Regulations Amendments and Additions Release 18 The
         Financial Services (Promotion of Unregulated Collective Investment
         Schemes)
      18 Regulations 1988 - 27 April 1988
         SIB Rules and Regulations Amendments and Additions Release 19 The
         Financial Services (Authorised Unit Trust Schemes) (Transitional)
      19 I Regulations 1988 - 27 April 1988
         SIB Rules and Regulations Amendments and Additions Release 19
         Erratum The Financial Services (Authorised Unit Trust Schemes)
         (Transitional)
19a      Regulations 1988 - 27 April 1988
         SIB Rules and Regulations Amendments and Additions Release 20 The
         Finncial Services (Interim) (Service Companies) Rules and Regulations
      20 1988 - 27 April 1988
         SIB Rules and Regulations Amendments and Additions Release 21 The
         Financial Services Conduct of Business (Amendment) (No.2) Rules and
      21 Regulations - 28 April 1988
         SIB Rules and Regulations Amendments and Additions Release 22 The
      22 Financial Services (Interim) Rules and Regulations 1988 - 28 April 1988
           SIB Rules and Regulations Amendments and Additions Release 20
22a        Errata The Financial Services (Interim) Rules and Regulations 1988
           SIB Rules and Regulations Amendments and Additions Release 23 The
           Financial Services (Conduct of Business) (Amendment) (No. 3) Rules
      23   1988 - 3 May 1988
           SIB Rules and Regulations Amendments and Additions Release 24
      24   Financial Regulation - 5 May 1988
           SIB Rules and Regulations Amendments and Additions Release 25 The
      25   Financial Services (Cancellation) Rules 1988 - 24 May 1988
           SIB Rules and Regulations Amendments and Additions Release 26 The
           Financial Services (Conduct of Business) (Amendment) (No. 4) Rules
      26   1988 - 27 May 1988
           SIB Rules and Regulations Amendments and Additions Release 27 The
           Financial Services (Miscellaneous Amendments) (No.2) Rules and
      27   Regulations 1988 - 16 June 1988
           SIB Rules and Regulations Amendments and Additions Release 28 The
           Financial Services (Miscellaneous Amendments) (No. 3) Rules and
      28   Regulations 1988 - 29 June 1988
           SIB Rules and Regulations Amendments and Additions Release 29 The
           Financial Services (Compensation of Investors) Rules 1988 - 22 July
      29   1988
           SIB Consolidated Text Release 30 The Financial Services (Conduct of
      30   Business) Rules 1987 - 22 July 1988
           SIB Rules and Regulations Amendments and Additions Release 31 The
           Financial Services (Miscellaneous Amendments) (No. 4) Rules and
      31   Regulations - 18 Aug 1988
           SIB Rules and Regulations Amendments and Additions Release 32 The
           Financial Services (Compensation of Investors) (Amendment) Rules 1988
      32   - 25 Aug 1988
           SIB Rules and Regulations Amendments and Additions Release 32 The
           Financial Services (Miscellaneous Amendments) (No. 5) Rules and
      33   Regulations 1988 - 15 Sept 1988
           SIB Amendments and Additions to the Rulebook Release 33 Erratum - 27
           Sept 1988
33a
         SIB Rules and Regulations Amendments and Additions Release 34 The
         Financial Services (Cancellation) (Temporary Provisions) (No.2) Rules
      34 1988 - 27 Sept 1988
         SIB Rules and Regulations Amendments and Additions Release 34 The
         Financial Services (Compensation of Investors) (Amendment) (No. 2)
      35 Rules 1988 - 29 Sept 1988
         SIB Consolidated Text Release 36 The Financial Services
      36 (Compensation of Investors) Rules 1988 - 29 Sept 1988
         SIB Rules and Regulations Amendments and Additions Release 37 The
         Financial Services (Miscellaneous Amendments) (No. 6) Rules and
      37 Regulations 1988 - 20 Oct 1988
         SIB Amendments and Additions to the Rulebook Release 37 Erratum - 31
37a      Oct 1988
         SIB Rules and Regulations Amendments and Additions Release 38 The
         Financial Services (Miscellaneous Amendments) (No.7) Rules and
      38 Regulations 1988 - 17 Nov 1988
         SIB Rules and Regulations Amendments and Additions Release 39 The
         Financial Services (Miscellaneous Amendments) (No.8) Rules and
      39 Regulations 1988 - 16 Dec 1988
         SIB Rules and Regulations Amendments and Additions Release 40 The
         Financial Services (Miscellaneous Amendments) (No.2) Rules and
      40 Regulations 1988 - 16 Dec 1988
         SIB Rules and Regulations Amendments and Additions Release 41 The
         Financial Services (Interim) (No.2) Rules and Regulations 1988 - 16 Dec
      41 1988
         SIB Rules and Regulations Amendments and Additions Release 42 The
      42 Financial Services (Fees Amendment) Regulations 1988 - 16 Dec 1988
         SIB Rules and Regulations Amendments and Additions Release 43 The
         Financial Services (Single Property Schemes) (Supplementary)
      43 Regulations 1989
         SIB Rules and Regulations Amendments and Additions Release 44 The
      44 Financial Services (Cancellation) Rules 1989 - 20 Feb 1989
         SIB Rules and Regulations Amendments and Additions Release 45 The
         Financial Services (Miscellaneous Amendments) (No.9) Rules and
      45 Regulations 1989 - 20 Feb 1989
         SIB Rules and Regulations Amendments and Additions Release 46 The
         Financial Services (Glossary and Interpretation) Rules and Regulations
      46 1989 - 20 Feb 1989
         SIB Rules and Regulations Amendments and Additions Release 47 The
         Financial Services (Notification) (Amendment) Regulations 1989 - 24 Feb
      47 1989
         SIB Rules and Regulations Amendments and Additions Release 48 The
         Financial Services (Compensation of Investors) (Amendment) Rules - 21
      48 March 1989

         SIB Rules and Regulations Amendments and Additions Release 49 The
      49 Financial Services (Fees Amendment) Regulations 1989 - 30 March 1989
         SIB Rules and Regulations Amendments and Additions Release 50 The
      50 Financial Services (Fees) Regulations 1989 - 30 March 1989
         SIB Rules and Regulations Amendments and Additions Release 51 The
         Financial Services (Conduct of Business) (BES Investments) Rules 1989 -
      51 5 April 1989
         SIB Rules and Regulations Amendments and Additions Release 52 The
         Financial Services (Miscellaneous Amendments) (No.10) Rules and
      52 Regulations 1989 - 21 April 1989
           SIB Unsolicited Calls Reissued Text (incorporating amendments made up
           to 21 April 1989) Release 53 The Financial Services (Unsolicited Calls)
      53   Regulations 1987 - 21 April 1989
           SIB Clients' Money Reissued Text (incorporating amendments made up
           to 21 April 1989) Release 54 The Financial Services (Clients' Money)
      54   Regulations 1987 - 4 May 1989
      55   SIB Miscellaneous Reissued Pages Release No 55 - 8 May 1989
      56   SIB Conduct of Business Rules 56
           SIB Rules and Regulations Amendments and Additions Release 57 The
           Financial Services (Miscellaneous Amendments) (PEPS)
      57   Rules and Regulations 1989 - 21 June 1989
           SIB Rules and Regulations Amendments and Additions Release 58 The
      58   Financial Services (Transitional) Rules 1989 - 21 June 1989
           SIB Rules and Regulations Amendments and Additions Release 59 The
           Financial Services (Miscellaneous Amendments) (No. 11)
      59   Rules and Regulations 1989 - 21 June 1989
           Financial Regulation Reissued Text (Incorporating amendments made up
      60   to 21 June 1989) Release 60 - 21 June 1989
           SIB Compensation of Investors Amended Pages Release 61 - 2 August
      61   1989
           SIB Rules and Regulations Amendments and Additions Release 62 The
           Financial Services (Conduct of Business) (Amendment) Rules 1989 - 3
      62   August 1989
           SIB Rules and Regulations Amendments and Additions Release 63 The
           Financial Services (Interim) (No. 2) (Amendment) Rules and Regulations
      63   1989 - 31 August 1989
      64   SIB Fees Scheme Release 64 - 29 Sept 1989
           SIB Rules and Regulations Amendments and Additions Release 65 The
           Financial Services (Miscellaneous Amendments) (No.12)
      65   Rules and Regulations 1989 - 24 Oct 1989
           SIB Rules and Regulations Amendments and Additions Release 66 The
           Financial Services (Miscellaneous Amendments) (No.13)
      66   Rules and Regulations 1989 - 21 Nov 1989
           SIB Rules and Regulations Amendments and Additions Release 67 The
      67   Financial Services (Transitional) (No.2) Rules 1989 - 21 Nov 1989
      68   SIB Conduct of Business Reissued Pages Release 68 - 21 Nov 1989
           SIB Rules and Regulations Amendments and Additions Release 69 The
           Financial Services (Conduct of Business) (Amendment No.2) Rules 1989 -
      69   4 Jan 1990
           SIB Amendments and Additions to the Rulebook Errata Releases 69 and
69a        70 - 18 Jan 1990

         SIB Rules and Regulations Amendments and Additions Release 70 The
      70 Financial Services (Cancellation) (Amendment) Rules 1989 - 4 Jan 1996
         SIB Rules and Regulations Amendments and Additions Release 71 The
         Financial Services (Miscellaneous Amendments) (No.14) Rules and
      71 Regulations 1989 - 4 Jan 1990
      72 SIB Authorised Unit Trust Schemes Text Reissue 28 - 16 Feb 1990
         SIB Rules and Regulations Amendments and Additions The Financial
         Services (Scheme Particulars) Regulations 1988 Reissued Text
         (Incorporating amendments made up to 16 February 1990) Release 73 -
      73 16 Feb 1990
         SIB Rules and Regulations Amendments and Additions The Financial
         Services (Promotion of Unregulated Collective Investment Schemes)
         Regulations 1988 Reissued Text (incorporating amendments made up to
      74 16 February 1990) Release 74 - 16 Feb 1990
           SIB Rules and Regulations Amendments and Additions The Financial
           Services (Authorised Unit Trust Schemes) (Transitional)
           Regulations 1988 Reissued Text (Incorporating amendments made up to
      75   16 February 1990) Release 75 - 16 Feb 1990
           SIB Rules and Regulations Amendments and Additions Release 76 The
           Financial Services Services (Miscellaneous Amendments) (No. 15) Rules
      76   and Regulations 1990 - 23 Feb 1990
           SIB Rules and Regulations Amendments and Additions Release 77 The
           Financial Services (Compensation of Investors) (First Levy) Rules 1990 -
      77   6 March 1990
           SIB Rules and Regulations Amendments and Additions Release 78 The
           Financial Services (Fees) Regulations 1990 and The Financial Services
           (Fees for Collective Investment Schemes) Regulations 1990 - 15
      78   March1990
           SIB Statement of Principle Rule Amendments and Additions Release 79 -
      79   15 March 1990
           SIB Rules and Regulations Amendments and Additions Release 80 The
           Financial Services (Miscellaneous Amendments) (PEPS, etc) Rules and
      80   Regulations 1990 - 22 March 1990
           SIB Rules and Regulations Amendments and Additions Release 80
           Erratum The Financial Services (Miscellaneous Amendments) (PEPS,
80a        etc) Rules and Regulations 1990 - 22 May 1990
           SIB Rules and Regulations Amendments and Additions Release 81 The
           Financial Services (Authorised Unit Trust Schemes) (Transitional)
      81   (Amendment) Regulations 1990 - 25 April 1990
           SIB The Financial Services (Interim) Rules and Regulations 1990
      82   Rulebook Amendments and Additions Release 82 - 22 May 1990
           SIB The Financial Services (Transitional) Rules 1990 Rulebook
      83   Amendments and Additions Release 83 - 22 May 1990
           SIB The Financial Services (Conduct of Business) (Amendment) Rules
      84   1990 Rulebook Amendments and Additions Release 84 - 31 May 1990
           SIBThe Financial Services (Clients' Money) (Amendment) Regulations
      85   1990 Rulebook Amendments and Additions Release 85 - 4 June 1990
           SIB The Financial Services (Compensation of Investors) Rules
      86   1990 Rulebook Amendments and Additions Release 86 - 28 June 1990
           SIB Financial Supervision Rules 1990 the new approach Rulebook
      87   Amendments and Additions Release 87 - 28 June 1990
           SIB The Financial Services (Promotion of Unregulated Collective
           Investment Schemes) (Amendment) Regulations 1990 Rulebook
      88   Amendments and Additions Release 88 - 27 Sept 1990
           SIB The Financial Services (Glossary and Interpretation) Rules and
           Regulations 1990 Rulebook Amendments and Additionl Release 89 - 18
      89   October 1990
           SIB The Financial Services (Conduct of Business) Rules 1990 Rulebook
      90   Amendments and Additions Release 90 - 18 Oct 1990
           SIB Corn pensation and Revocation Rulebook Amendments and
      91   Additions Release 91 - 18 Oct 1990
           SIB Fees for Permitted Persons Rulebook Amendments and Additions
      92   Release 92 - 21 Dec 1990
           SIB The Financial Services (Miscelllaneous Amendments) (No.16) Rules
           and Regulations 1990 Rulebook Amendments and Additions
      93   Release 93 - 10 Jan 1991
           SIB The Core Conduct of Business Rules Rulebook Amendments and
      94   Additions Release 94 - 30 Jan 1991
      SIB The Financial Services (Interim) (Amendment) Rules and
      Regulations 1991 Rulebook Amendments and Additions Release 95 - 1
95    Feb 1991
      SIB The Financial Services (Promotion of Unregulated Schemes)
      Regulations 1991 Rule book Amendments and Additions Release 96 - 22
96    March 1991
      SIB The Financial Services (Fees) Regulations 1991 Rulebook
97    Amendments and Additions Release 97 - 27 March 1991
      SIB The Financial Services (Compensation of Investors) (Amendment)
      Rules 1991 Rulebook Amendments and Additions Release 98 - 27 March
98    1991
      SIB The Financial Services (Miscellaneous Amendments) (No. 17)
      Rules and Regulations 1991 Rulebook Amendments and Additions
 99   Release 99 - 27 June 1991
100   SIB Regulated Collective Investment Schemes Release 100
      SIB Common Unsolicited CalIs Regulations Rulebook Amendments and
101   Additions Release 101 - 27 June 1991
      SIB The Financial Services (Compensation of Investors) (Amendment)
      (No. 2) Rules 1991 Rulebook Amendments and Additions Release 102 -
102   1 August 1991
      SIB The Financial Services (Miscellaneous Amendments) (No. 18)
      Rules and Regulations 1991 Rulebook Amendments and Additions
103   Release 103 - 27 Sept 1991

				
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posted:3/16/2011
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