Example sentences of "carry [adv prt] investment [noun sg] [prep] " in BNC.
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| 1 | ‘ For the purposes of this Act an appointed representative is a person — ( a ) who is employed by an authorised person ( his ‘ principal ’ ) under a contract for services which — ( i ) requires or permits him to carry on investment business to which this section applies ; and ( ii ) complies with subsections ( 4 ) and ( 5 ) below ; and ( b ) for whose activities in carrying on the whole or part of that investment business his principal has accepted responsibility in writing ; and the investment business carried on by an appointed representative as such is the investment business for which his principal has accepted responsibility . |
| 2 | ‘ For the purposes of this Act an appointed representative is a person — ( a ) who is employed by an authorised person ( his ‘ principal ’ ) under a contract for services which — ( i ) requires or permits him to carry on investment business to which this section applies ; and ( ii ) complies with subsections ( 4 ) and ( 5 ) below ; and ( b ) for whose activities in carrying on the whole or part of that investment business his principal has accepted responsibility in writing ; and the investment business carried on by an appointed representative as such is the investment business for which his principal has accepted responsibility . |
| 3 | ‘ 1(1) The rules and practices of the organisation must be such as to secure that its members are fit and proper persons to carry on investment business of the kind with which the organisation is concerned . … |
| 4 | ‘ 1(1) The rules and practices of the organisation must be such as to secure that its members are fit and proper persons to carry on investment business of the kind with which the organisation is concerned . … |
| 5 | The Consultation Draft which preceded the issue of the COB Rules explained that in order to carry on investment business of the same description ( and so qualify as a market counterparty ) , the putative market counterparty must carry on an activity in relation to a description of investment which both fall in the same paragraphs of Sched 1 to the FSA as the activity and investments of the firm . |
| 6 | Section 4 makes it an offence to carry on investment business in contravention of section 3 . |
| 7 | Authorised to carry on investment business by the Institute of Chartered Accountants in England and Wales . |
| 8 | Authorised to carry on investment business by the Institute of Chartered Accountants in England and Wales . |
| 9 | A central provision of the Act is section 3 , which provides that no person shall carry on investment business in the United Kingdom unless he is an authorised person or an exempted person as defined . |
| 10 | Carrying on investment business without the appropriate authorisation , except where professionals are dealing with professionals , is not only a criminal offence but may render unenforceable any contract entered into . |
| 11 | In the case of solicitors , as well as the usual provisions common to most businesses , specific restrictions may , for example , be desired : ( 1 ) in relation to the operation of bank accounts ( more particularly drawings and transfers from client and trust accounts ) ; ( 2 ) to prohibit a partner from carrying on investment business at any time when the firm has not applied for and obtained an Investment Business certificate from the Law Society ; and ( 3 ) in relation to professional undertakings made in the name of the firm , perhaps by requiring the consent of another partner ( if not all partners ) or notice to the other partners . |
| 12 | Sir Nicolas Browne-Wilkinson V.-C. held , however , that the statutory right of the Board , acting as delegate of the Secretary of State for Trade and Industry , to seek an order against persons carrying on investment business in the United Kingdom without authority to make good losses suffered by others was a sufficient basis for a Mareva injunction . |
| 13 | Subsections ( 3 ) , ( 4 ) and ( 5 ) of section 6 enable the Secretary of State , or the S.I.B. , to obtain orders against ‘ a person … carrying on investment business in contravention of section 3 ’ requiring that person to disgorge profits thereby made ( subsections ( 3 ) ( a ) and ( 4 ) ( a ) ) or to compensate investors for losses they have suffered ( subsections ( 3 ) ( b ) and ( 4 ) ( b ) ) . |
| 14 | Except for the need to make the prescribed disclosure ( see page 41 above ) , the retained marketing rules that non-UK offices have to comply with despite the foreign business carve-out apply only where the firm is carrying on investment business in the UK . |
| 15 | The S.I.B. , acting under powers conferred by the Financial Services Act 1986 , brought an action against the first and second defendants , two overseas companies , as persons who , not being authorised , carried on investment business in the United Kingdom and caused investors loss . |
| 16 | Despite the foreign business carve-out , SFA brings back in certain rules relating to marketing and the related record-keeping requirements ( and , in effect , excludes them from the exemption ) if the firm carries on investment business with customers in the UK from a non-UK office . |
| 17 | ‘ … each person to whom this report is being issued in the United Kingdom is a ‘ professional investor ’ ( for the purposes of the Financial Services ( Conduct of Business ) Rules 1987 of the Securities and Investments Board Limited ) or a person who carries on investment business for the purposes of the Financial Services Act 1986 … ’ |
| 18 | Investment business While a summary of the Solicitors ' Investment Business Rules 1990 may be found in Chapter 12 , it is appropriate at this point to note that every firm which carries on investment business within the meaning of the Financial Services Act 1986 is required to be authorised either through a Self-Regulating Organisation ( SRO ) such as FIMBRA or through a Recognised Professional Body ( RPB ) or directly from the Securities and Investments Board . |