Legislation, implemented in November 2001, establishing a regulatory framework for UK banking, insurance, and investment. The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001 (SI 2001/1060) Dependent on the legislation item being viewed this may include: Click 'View More' or select 'More Resources' tab for additional information including: All content is available under the Open Government Licence v3.0 except where otherwise stated. Regulation 2 Interpretation : Part II Disclosure of Confidential Information Generally (regs. Log in . 1-2) In force. Financial Institutions Amendment Act 22 of 1997; Commencement. No changes have been applied to the text. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area. Chapter V Dealing in Investments as Agent, 22.Deals with or through authorised persons, Chapter VI Arranging Deals in Investments, 28.Arranging transactions to which the arranger is a party, 29.Arranging deals with or through authorised persons, 30.Arranging transactions in connection with lending on the security of insurance policies, 31.Arranging the acceptance of debentures in connection with loans. 4-8) Article 4 Transfer of functions The obvious respect in which the Act is a radical measure is in providing statutory underpinning for the Financial Services Authority (FSA). Amendments. Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 [SI 2001 No. Under the terms of the Act, the Financial Services Authority became the key regulator, taking over functions from the Bank… Money-market instruments; 3. Act No. Different options to open legislation in order to view more content on screen at once. These Regulations give effect to the EU Prospectus Regulation by making amendments to the Financial Services and Markets Act 2000. 5) Article 5 Accepting deposits an activity of the kind specified by article 25 of the Regulated Activities Order (arranging deals in investments), where the arrangements are for or with a view to transactions relating to securities or contractually based investments; an activity of the kind specified by article 40 of that Order (safeguarding and administering investments), where the activity consists of arranging for one or more other persons to safeguard and administer assets; an activity of the kind specified by article 53 of that Order (advising on investments); or. 2 pages) The Financial Services and Markets Act 2000 (FSMA) is an important part of the UK’s legislative 8.Sums received by persons authorised to deal etc. 2001/1177) makes provision as to the circumstances in which a person is, or is not, to be regarded as carrying on a regulated activity by way of business. Article 8, The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001 Practical Law Primary Source 5-509-6882 (Approx. The Financial Services and Markets Act 2000 is an Act of the Parliament of the United Kingdom that created the Financial Services Authority (FSA) as a regulator for insurance, investment business and banking, and the Financial Ombudsman Service to resolve disputes as a free alternative to the courts.. On 26 June 2019, there was published on legislation.gov.uk, the Financial Services and Markets Act 2000 (Prospectus) Regulations 2019. Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 [SI 2001 No. Arrangements for the issue of shares etc. This is the original version (as it was originally made). Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 [SI 2001 No. They impose new requirements on recognized central counterparties and recognized clearing houses, which are not central counterparties. 122 of 2001 as amended, taking into account amendments up to Act No. Schedules 1, 2 and 3 contain modifications and amendments to the Financial Services and Markets Act 2000 and secondary legislation made under that Act. International securities self-regulating organisations, Safeguarding and administering investments, Acceptance of responsibility by third party, Activities not constituting administration, Instructions on behalf of participating issuers, Instructions on behalf of settlement banks, Instructions in connection with takeover offers, Instructions in the course of providing a network, Establishing etc. Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (RAO) [SI 2001 No. The Financial Services and Markets Act 2000 (Financial Promotion) Order 2001 (the "FP Order") (as amended by The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2001 (the "FP Amendment Order")) sets out a number of situations where a communication which would otherwise be in breach of section 21 will not be. The Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001 (SI 2001/2511) Practical Law Primary Source 7-510-5748 (Approx. Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. Transferable securities; 2. Article 60C, The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 Practical Law Primary Source 4-568-2948 (Approx. Ctrl + Alt + T to open/close. For more information see the EUR-Lex public statement on re-use. Arranging transactions to which the arranger is a party, Arranging deals with or through authorised persons, Arranging transactions in connection with lending on the security of insurance policies, Arranging the acceptance of debentures in connection with loans. 45. 2(4)(c) 1-3) Article 1 Citation; Article 2 Commencement; Article 3 Interpretation; Part II Transferred functions (arts. 544] Part II Specified activities (arts. 2188] Consolidation Status: Updated to reflect all known changes. 1 page) Changes and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. 23 November 2001. Financial Services Act 2012), the Uncertificated Securities Regulations 2001 (as amended) and the Banking Act 2009 (as amended). Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. 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