Board of Trade and successors: Companies Department and successors: Licensing of...

This series contains indexes prepared in connection with the issue of licenses to dealers in securities under the Prevention of Fraud (Investments) Acts of 1939 and 1958.

The indexes were produced in the Companies Department and its successors within, successively, the Board of Trade, Department of Trade and Industry (1970-1974), Department of Trade, and Department of Trade and Industry (1983 onwards).

The card indexes cover files back to 1939 and there is no evidence to show whether or not it is complete. The last additions were made in summer 1985, after which it was replaced by a computerised index. This index in the form of print-outs was made at the end of April 1988 from this computerised index. This is believed to include all licenses valid at the date the computer record was set up during 1985/86 and all those granted later. It may include some information about earlier lapsed licenses.

The 'Caution Indexes', are so called because they lists companies or individuals which may have been of doubt for suitability for dealing with securities.

The computer record was discontinued at the end of April 1988 when the Prevention of Fraud (Investments) Act was repealed and the Financial Services Act, 1986, came fully into force.

The series includes re-registered files which would otherwise be found amongst the records of the Department of Trade and Industry (FV) division: Records of the Industrial and the Industrial and Commercial Policy Divisions and Groups.