SCHEDULE 3Excepted proceedings

10

Proceedings under the Prevention of Fraud (Investments) Act (Northern Ireland) 1940 in respect of an application for, or revocation of,—

a

a licence to deal in securities; or

b

an order by the Department of Commerce declaring a person to be an exempted dealer for the purposes of that Act; or

c

an order by the Department of Commerce declaring a unit trust scheme to be an authorised unit trust scheme for the purposes of that Act,

(including proceedings under section 6 of that Act before the High Court in respect of a licence to deal in securities).