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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

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FUND Sch 3 Rights of action for damages

FUND Sch 3.1G

The table below sets out the rules in FUND where contravention by an authorised person may be actionable under section 138D of the Act (Actions for damages) by a person who suffers loss as a result of the contravention.

If a Yes appears in the column headed 'For private person', the rule may be actionable by a private person under section 138D, unless a Yes appears in the column headed 'Removed'. A Yes in the column headed 'Removed' indicates that the FCA has removed the right of action under section 138F(3) of the Act. If so, a reference to the rule in which it is removed is also given.

In accordance with The Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001 (SI 2001/2256), a private person is:


any individual, except when acting in the course of carrying on a regulated activity; and


any person who is not an individual, except when acting in the course of carrying on business of any kind;

but does not include a government, a local authority or an international organisation.

The column headed For other person indicates whether the rule is actionable by a person other than a private person, in accordance with those Regulations. If so, an indication of the type of person by whom the rule is actionable is given.

FUND Sch 3.2G

1. Actions for damages: Investment Funds sourcebook

Chapter/ Appendix

Section/ Annex


Right of action section 138D

For private person?


For other person

All rules in FUND