Example sentences of "[prep] [art] financial [noun pl] act " in BNC.
Next page| No | Sentence |
|---|---|
| 1 | But they merit special emphasis in the approach to be adopted to the construction of a statute , such as the Financial Services Act 1986 , which in some respects introduced radical new solutions for old problems . |
| 2 | Despite the volume of complaints about the Financial Services Act , the regulation of the eurobond market in London is relatively light . |
| 3 | In summary then , the method of control over businesses offering investment advice is one whereby Parliament through the Financial Services Act has delegated power to the Secretary of State who has in turn delegated most of his rule-making responsibilities to the SIB . |
| 4 | Building Societies also provide a broader range of services and have moved into areas traditionally viewed as the province of the banks , more so after the recent ‘ liberalisation ’ of their activities through the Financial Services Act ( 1987 ) . |
| 5 | His committee will be considering the regulatory requirements of the Financial Services Act for the new Exchange . |
| 6 | Creating a false market in shares carries a penalty of seven years imprisonment under Section 47 of the Financial Services Act . |
| 7 | Since the introduction of the Financial Services Act in 1988 it has been compulsory for financial advisers and salesmen to base their advice upon a clients ' current ability to pay future as well as present requirements . |
| 8 | They were also told the penalty for non-compliance was up to seven years in prison and an unlimited fine under Section 77 of the financial Services Act . |
| 9 | This consists of the Auditing Guideline , Communications between Auditors and Regulators under Sections 109 and 180(1) ( q ) of the Financial Services Act 1986 , which was issued in July 1990 ; and Practice Note 3 , Client Assets — Guidance to Auditors of Investment Businesses , issued in December 1990 and which has been amended to reflect recent changes in the rules relating to client money following the issue of The Financial Services ( Client Money ) Regulations 1991 . |
| 10 | Referring to the abolition of the Maximum Commissions Agreement in 1989 and the consequent review of commission rates , Mr Bell said , ‘ In determining the rates we would pay , we were particularly concerned to hold a fair balance between the interests of the policy holder and the increased costs which the requirements of the Financial Services Act imposed in independent advisers . ’ |
| 11 | Until the advent of the Financial Services Act 1986 , regulation had been decidedly piecemeal ‘ combining a variety of Government measures with a large degree of self-regulation ’ . |
| 12 | Futures firms such as Stox and DPR Futures , who used hard sales techniques in the mould of LHW , which did survive the onset of the Financial Services Act ( 1986 ) , also bit the dust for various reasons . |
| 13 | They will always be , superficially at least , a different animal from stockbrokers , and are proving unable to survive the implementation of The Financial Services Act ( 1986 ) . |
| 14 | Lautro was a recognised self-regulating organisation for the purposes of section 8 of the Financial Services Act 1986 . |
| 15 | ( ‘ Lautro ’ ) , which is a recognised self-regulating organisation for the purposes of the Financial Services Act 1986 . |
| 16 | By section 22 of the Financial Services Act 1986 , an insurance company authorised under those sections of the Act of 1982 to carry on insurance business which is investment business within the meaning of the Act of 1986 , is an authorised person by virtue of the authorisation under the Act of 1982 , and not by virtue of membership of an S.R.O . |
| 17 | Mr. Collins , for the applicant , bases his submission that Winchester was a member of Lautro first upon the wording of section 8(2) of the Financial Services Act 1986 . |
| 18 | In this context Mr. Beloff relied on the decision of the House of Lords in In re An Inquiry under the Company Securities ( Insider Dealing ) Act 1985 [ 1988 ] A.C. 660 where the question arose whether a journalist had a reasonable excuse under section 178 of the Financial Services Act 1986 to refuse to answer questions put to him by inspectors , having regard to the terms of section 10 of the Contempt of Court Act 1981 which provides : |
| 19 | By a summons dated 15 March 1991 the third , fourth and fifth defendants ( ‘ the solicitors ’ ) sought an order pursuant to R.S.C. , Ord. 18 , r. 19 that the amended statement of claim , alternatively that paragraphs 11 and 13 of the prayer to the amended statement of claim , be struck out as against them on the ground that they disclosed no reasonable cause of action ; alternatively , an order pursuant to R.S.C. , Ord. 14A that the court had no power under section 6(2) of the Financial Services Act 1986 to make the order sought in paragraph 11 of the prayer to the amended statement of claim and that the court had no power under section 61(1) of the Act of 1986 to make the order sought in paragraph 13 of the prayer to the amended statement of claim . |
| 20 | under sections 6(2) and 61(1) of the Financial Services Act 1986 against a firm of solicitors who acted for a person carrying on an unauthorised investment business . |
| 21 | The situation has improved since the implementation of the provisions of the Financial Services Act . |
| 22 | The fact that so many insurance products contain a substantial savings element has brought them within the scope of the Financial Services Act 1986 . |
| 23 | The relative importance of , say , a lapse in hygiene and a breach of the Financial Services Act will obviously vary depending on whether you 're a food manufacturer or a stockbroker . |
| 24 | Also excepted are certain contracts which are governed by some other piece of legislation : contracts of insurance to which the Insurance Companies Act 1982 applies ; investment agreements within the meaning of the Financial Services Act 1986 and certain agreements for the making of deposits within the meaning of the Banking Act 1987 . |
| 25 | UNDER the terms of the Financial Services Act , it is the duty of a financial adviser to know the client . |
| 26 | The detailed process of applying the rules of the Financial Services Act 1986 to engagement letters is set out in Section 0401.3 . |
| 27 | This section is limited to an outline of the principal requirements of the Financial Services Act 1986 ( ‘ FSA ’ ) , particularly in terms of its impact on MAS activities . |
| 28 | An example engagement letter is set out in Appendix B of the Financial Services Act Compliance Binder . |
| 29 | An example engagement letter is set out in Appendix E of the Financial Services Act Compliance Binder . |
| 30 | ‘ … the person to whom this report is being issued in the United Kingdom is a single body corporate , a partnership , a single individual or a group of connected individuals ( as defined in Article 5 of The Financial Services Act 1986 ( Investment Advertisements ) ( Exemptions ) ( No 2 ) Order 1988 ) … ’ |