On 21/05/2013,
you requested for the version in force on 21/05/2013
incorporating all amendments published on or before 21/05/2013.
The closest version currently available is that of 04/06/2012.
5.
—(1) Subject to paragraph (2), a representative —
(a)
who, immediately before 2nd May 2012, is an appointed representative in respect of the regulated activity of trading in futures contracts; and
(b)
whose principal is a qualifying corporation which has, on or before 4th June 2012, complied with paragraph (3),
shall be exempted from section 99B(1) of the Act as regards the regulated activity of dealing in securities with effect from 4th June 2012 until the date the Authority enters or refuses to enter dealing in securities as an additional regulated activity for him in the public register of representatives.
(2) The exemption granted to a representative under paragraph (1) is subject to the condition that the representative shall deal only in designated prescribed securities.
(3) For the purposes of paragraph (1)(b), the principal of the representative shall, on or before 4th June 2012 —
(a)
lodge with the Authority a notice under section 99L of the Act of its intention to appoint the representative as an appointed representative in respect of the additional regulated activity of dealing in securities; and
(b)
provide the name of the representative to the Authority under regulation 4.
(4) The notice referred to in paragraph (3)(a) shall be made using a physical copy of Form 6, which shall be submitted to the Authority in such manner as the Authority may specify.