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FINANCIAL PROMOTION: THIRD CONSULTATION DOCUMENT
Financial Promotion of Collective Investment Schemes - First Consultation
OCTOBER
2000
Contents
INTRODUCTION
PART
ONE
contains an overview of the current regime applying to financial promotions,
of the proposed regime under the Act, and of significant changes proposed
to the draft Order compared with the consultation document of October
1999.
PART
TWO
provides commentary on the main issues arising from the Order.
PART
THREE (PDF File 47KB)
contains the draft Financial Promotion Order.
PART
FOUR
provides a commentary on the main issues arising from the Promotion
of Collective Investment Schemes (Exemptions) Order.
PART
FIVE (PDF File 131KB)
contains the draft Promotion of Collective Investment Schemes (Exemptions)
Order.
ANNEX
A
contains the text of sections 21 and 238 of the Act which set the
restrictions on financial promotion by unauthorised persons and on
promotion of collective investment schemes by authorised persons
respectively.
ANNEX
B
lists organisations and individuals who responded to the October 1999
consultation document and who did not request that their responses
were kept confidential.
ANNEX
C
contains a draft regulatory impact assessment (“RIA”) for
the draft Financial Promotion Order.
ANNEX
D (PDF File 13KB)
contains a table showing the destinations in the draft Financial Promotion
Order of the current exemptions under the Financial Services Act 1986.
ANNEX
E (PDF File 27KB)
contains a table showing changes to the exemptions in the draft Financial
Promotion Order compared with the draft Order of October 1999.
Responses
to this document
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