Investment Business On-line Handbook
Contents
| section 5 | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| section 6 | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
Appendicies
| Appendix A | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| A | The Investment Business Act 1991 (as amended) | ||||||||||||||||||||||||||||||||
| Appendix B | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| B | The Investment Business Order 2004 | ||||||||||||||||||||||||||||||||
| Appendix E | Orders and Regulations granting exemption to certain classes of person (see also Appendix I) | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| E1 | Investment Business (Exemption) (Banks and Building Societies) Regulations 1992 | ||||||||||||||||||||||||||||||||
| E2 | Investment Business (Exemption) (Miscellaneous) Regulations 2001 | ||||||||||||||||||||||||||||||||
| E3 | Investment Business (Exemption) (Certificates of Deposit) Regulations 1992 | ||||||||||||||||||||||||||||||||
| E4 | Investment Business (Exemption) (Fund Managers) Regulations 2005 | ||||||||||||||||||||||||||||||||
| E5 | Investment Business (Exemption) (Group Pension Schemes) Regulations 1996 | ||||||||||||||||||||||||||||||||
| E6 | Investment Business (Exemption) (Temporary Business Continuity Operations) Regulations 2006 | ||||||||||||||||||||||||||||||||
| Appendix F | Application Forms for Investment Business Licences:- | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| F1 | Corporate Bodies (Categories 1, 2 and 3 only) | ||||||||||||||||||||||||||||||||
| Appendix G | Personal Questionnaire for Directors/Controllers/Managers and Company Secretaries of Institutions Engaged in Banking or Investment Business | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| G1 | Personal Questionnaire | ||||||||||||||||||||||||||||||||
| G2 | Bankers' Questionnaire | ||||||||||||||||||||||||||||||||
| G3 | Proforma Letter Sent To All Recommended 4-Eyes | ||||||||||||||||||||||||||||||||
| G4 | Licenceholder Contact details form | ||||||||||||||||||||||||||||||||
| Appendix H | Guidance To Licenceholders and Potential Licenceholders Regarding Internet / E-Business Developments | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Appendix I | Fees | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| I1 | Investment Business (Fees) Regulation 2007 | ||||||||||||||||||||||||||||||||
| Appendix J | Licensing Policy | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| J1 | General Licensing Policy for those seeking a Banking, Investment Business or Fiduciary Serices Licence | ||||||||||||||||||||||||||||||||
| Appendix K | Financial and Compliance Returns | ||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| K1 | Annual Financial Declaration - Associated Asset Manager | ||||||||||||||||||||||||||||||||
| K2 | Financial Resources Statement | ||||||||||||||||||||||||||||||||
| K3 | Annual Financial Declaration | ||||||||||||||||||||||||||||||||
| K4 | Compliance Statement | ||||||||||||||||||||||||||||||||
| DisabledGo Information | ![]() | Terms & Conditions | ©2008 Isle of Man Government |


