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Source2000 c. 8

Financial Services and Markets Act 2000 (2000 c. 8)

Act Β· In force Β· Enacted 14 June 2000 Β· 1,890 sections

An Act to make provision about the regulation of financial services and markets; to provide for the transfer of certain statutory functions relating to building societies, friendly societies, industrial and provident societies and certain other mutual societies; and for connected purposes.

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Part I β€” The Regulators 1 Β· 1 sectionPART 1A β€” The Regulatorss 1A–s 1RB Β· 27 sectionsCHAPTER 1 β€” The Financial Conduct Authoritys 1A–s 1RB Β· 27 sections
Part I β€” The Regulators 2 Β· 1 section
The Authority’s general dutiess 2 Β· 1 section
PART 1A β€” The Regulatorss 2A–s 2NB Β· 21 sections
CHAPTER 2 β€” The Prudential Regulation Authoritys 2A–s 2NB Β· 21 sections
Part I β€” The Regulators 3–s 3An Β· 2 sections
The regulatory objectivess 3–s 3An Β· 2 sections
PART 1A β€” The Regulatorss 3A–s 3RE Β· 25 sections
CHAPTER 3 β€” Further provisions relating to FCA and PRAs 3A–s 3RE Β· 25 sections
Part I β€” The Regulators 4–s 18 Β· 16 sections
The regulatory objectivess 4–s 6 Β· 3 sections
Enhancing public understanding of financial matters etcs 6A Β· 1 section
Corporate governances 7 Β· 1 section
Arrangements for consulting practitioners and consumerss 8–s 11 Β· 4 sections
Reviewss 12–s 13 Β· 2 sections
Inquiriess 14–s 18 Β· 5 sections
Part II β€” Regulated And Prohibited Activitiess 19–s 30 Β· 18 sections
The general prohibitions 19 Β· 1 section
Requirement for permissions 20 Β· 1 section
Financial promotions 21 Β· 1 section
Regulated activitiess 22–s 22B Β· 3 sections
Offencess 23–s 25 Β· 4 sections
Enforceability of agreementss 26–s 30 Β· 8 sections
Part III β€” Authorisation and Exemptions 31–s 39A Β· 10 sections
Authorisations 31–s 32 Β· 2 sections
Ending of authorisations 33–s 36 Β· 4 sections
Exercise of EEA rights by UK firmss 37 Β· 1 section
Exemptions 38–s 39A Β· 3 sections
Part IV β€” Permission to Carry on Regulated Activitiess 40–s 55 Β· 18 sections
Application for permissions 40–s 41 Β· 2 sections
Permissions 42–s 43 Β· 2 sections
Variation and cancellation of Part IV permissions 44–s 48 Β· 5 sections
Connected personss 49 Β· 1 section
Additional permissionss 50 Β· 1 section
Procedures 51–s 54 Β· 4 sections
Notifications 54A–s 54B Β· 2 sections
References to the Tribunals 55 Β· 1 section
PART 4A β€” Permission to carry on regulated activitiess 55A–s 55XA Β· 38 sections
Application for permissions 55A–s 55G Β· 7 sections
Variation and cancellation of Part 4A permissions 55H–s 55K Β· 4 sections
Imposition and variation of requirementss 55L–s 55P Β· 5 sections
Exercise of power in support of overseas regulators 55Q Β· 1 section
Connected personss 55R Β· 1 section
Additional permissionss 55S Β· 1 section
Persons whose interests are protecteds 55T Β· 1 section
Procedures 55U–s 55Z Β· 6 sections
Notifications 55Z1–s 55Z2A Β· 3 sections
References to the Tribunals 55Z3 Β· 1 section
Interpretations 55Z4 Β· 1 section
Variation and cancellation of Part 4A permissions 55JA–s 55KA Β· 2 sections
Imposition and variation of requirementss 55NA–s 55PB Β· 4 sections
Procedures 55XA Β· 1 section
Part V β€” Performance of Regulated Activitiess 56–s 71I Β· 48 sections
Prohibition orderss 56–s 58 Β· 3 sections
Approvals 59–s 63 Β· 12 sections
Performance of controlled functions without approvals 63A–s 63D Β· 4 sections
Certification of employeess 63E–s 63F Β· 2 sections
Approvals 63ZA–s 63ZE Β· 5 sections
...s 64 Β· 1 section
Conduct of approved persons and otherss 64A–s 64C Β· 3 sections
...s 65 Β· 1 section
Conduct of approved persons and otherss 66–s 70 Β· 7 sections
Breach of statutory dutys 71 Β· 1 section
β€œRelevant authorised person”s 71A Β· 1 section
Removal of directors and senior executives and appointment of temporary managers 71B–s 71I Β· 8 sections
PART 5A β€” Designated activitiess 71K–s 71Y Β· 15 sectionsCHAPTER 1 β€” GENERAL PROVISIONSs 71K–s 71S Β· 9 sectionsCHAPTER 2 β€” PROVISIONS RELATING TO PARTICULAR DESIGNATED ACTIVITIESs 71T–s 71Y Β· 6 sectionsPart VI β€” Official Listings 72–s 103 Β· 98 sections
...s 72–s 73 Β· 2 sections
Ruless 73A Β· 1 section
The official lists 74 Β· 1 section
Listings 75–s 78A Β· 5 sections
Listing particularss 79–s 83 Β· 5 sections
Contravention of prohibition relating to public offer of securitiess 84–s 87 Β· 4 sections
Approval of prospectuss 87A–s 87D Β· 4 sections
Transfer of application for approval of a prospectuss 87E–s 87F Β· 2 sections
Supplementary prospectuss 87G Β· 1 section
Passportings 87H–s 87I Β· 2 sections
Transferable securities: powers of FCAs 87J–s 87P Β· 7 sections
Rights of investorss 87Q Β· 1 section
Registered investorss 87R Β· 1 section
Final termss 87FA–s 87FB Β· 2 sections
Transferable securities: powers of FCAs 87JA–s 87LA Β· 3 sections
Sponsorss 88–s 89 Β· 8 sections
Transparency obligationss 89A–s 89G Β· 7 sections
Power of FCA to call for informations 89H–s 89J Β· 3 sections
Powers exercisable in case of infringement of transparency obligations 89K–s 89N Β· 4 sections
Corporate governances 89O Β· 1 section
Primary information providerss 89P–s 89W Β· 8 sections
Powers exercisable in case of infringement of transparency obligations 89NA Β· 1 section
Compensation for false or misleading statements etcs 90–s 90ZA Β· 4 sections
Penaltiess 91–s 94 Β· 4 sections
Competitions 95 Β· 1 section
Miscellaneouss 96–s 102 Β· 12 sections
Interpretative provisionss 102A–s 103 Β· 4 sections
Part VII β€” Control of Business Transferss 103A–s 117 Β· 21 sections (18 directly here)
Business transfers outside the United Kingdoms 115–s 116 Β· 2 sections
Modificationss 117 Β· 1 section
Part VIII β€” Provisions relating to market abuses 118–s 131A Β· 34 sections
...s 118–s 122 Β· 8 sections
Powers to require information and supplemental provisionss 122A–s 122F Β· 6 sections
Other administrative powerss 122G–s 122IA Β· 5 sections
Administrative sanctionss 123–s 123C Β· 4 sections
Statement of policys 124–s 125 Β· 2 sections
Procedures 126–s 127A Β· 3 sections
Miscellaneouss 128–s 131A Β· 6 sections
Part 8A β€” Short sellings 131B–s 131L Β· 11 sections
Short selling ruless 131B–s 131D Β· 3 sections
Power to require informations 131E–s 131F Β· 2 sections
Breach of short selling regulation etcs 131G–s 131L Β· 6 sections
PART 8B β€” Cash access servicess 131M–s 131Z2 Β· 16 sections
Introductorys 131M–s 131O Β· 3 sections
Cash access policy statements 131P–s 131Q Β· 2 sections
Designations 131R–s 131T Β· 3 sections
Supervision of designated personss 131U–s 131Z2 Β· 8 sections
Part VIII β€” Provisions relating to market abuses 131AA–s 131AE Β· 5 sections
Miscellaneouss 131AA–s 131AE Β· 5 sections
Part 8A β€” Short sellings 131FA–s 131FC Β· 3 sections
Power to require informations 131FA–s 131FC Β· 3 sections
Parts 132–s 137 Β· 8 sections (4 directly here)
Legal assistance before the Tribunals 134–s 136 Β· 3 sections
Pblocks 137 Β· 1 section
PART 9A β€” Rules and Guidances 137A–s 137FBB Β· 33 sectionsCHAPTER 1 β€” Rule-making powerss 137A–s 137FBB Β· 33 sectionsPart X β€” Rules and Guidances 138 Β· 1 sectionChapter I β€” Rule-making Powerss 138 Β· 1 section
PART 9A β€” Rules and Guidances 138A–s 138JB Β· 25 sections
CHAPTER 2 β€” Rules: modification, waiver, contravention and procedural provisionss 138A–s 138O Β· 15 sections
CHAPTER 2A β€” Technical Standardss 138P–s 138S Β· 4 sections
CHAPTER 2 β€” Rules: modification, waiver, contravention and procedural provisionss 138BA–s 138JB Β· 6 sections
Part X β€” Rules and Guidances 139 Β· 1 section
Chapter I β€” Rule-making Powerss 139 Β· 1 section
PART 9A β€” Rules and Guidances 139A Β· 1 section
CHAPTER 3 β€” Guidances 139A Β· 1 section
Part X β€” Rules and Guidances 139An1 Β· 1 section
Chapter I β€” Rule-making Powerss 139An1 Β· 1 section
PART 9A β€” Rules and Guidances 139B Β· 1 section
CHAPTER 3 β€” Guidances 139B Β· 1 section
Part X β€” Rules and Guidances 139Bn1–s 140 Β· 6 sections
Chapter I β€” Rule-making Powerss 139Bn1–s 140 Β· 6 sections
PART 9A β€” Rules and Guidances 140A–s 140H Β· 8 sections
CHAPTER 4 β€” Competition scrutinys 140A–s 140H Β· 8 sections
Part X β€” Rules and Guidances 141 Β· 1 section
Chapter I β€” Rule-making Powerss 141 Β· 1 section
PART 9A β€” Rules and Guidances 141A–s 141B Β· 2 sections
CHAPTER 5 β€” Power to make consequential amendmentss 141A–s 141B Β· 2 sections
Part X β€” Rules and Guidances 142 Β· 1 section
Chapter I β€” Rule-making Powerss 142 Β· 1 section
PART 9B β€” Ring-fencings 142A–s 142Z1 Β· 27 sections
Introductorys 142A–s 142F Β· 6 sections
Ring-fenced bodies not to carry on excluded activities or contravene prohibitionss 142G Β· 1 section
Ring-fencing ruless 142H–s 142J Β· 3 sections
Group restructuring powerss 142K–s 142R Β· 8 sections
Failure of parent undertaking to comply with directions 142S–s 142V Β· 4 sections
Pension liabilitiess 142W–s 142X Β· 2 sections
Loss-absorbency requirementss 142Y Β· 1 section
Generals 142Z–s 142Z1 Β· 2 sections
Part X β€” Rules and Guidances 143 Β· 1 section
Chapter I β€” Rule-making Powerss 143 Β· 1 section
PART 9C β€” Prudential regulation of FCA investment firmss 143A–s 143Z Β· 26 sections
Interpretations 143A–s 143B Β· 2 sections
Ruless 143C–s 143I Β· 7 sections
Requirement to have UK parent undertakings 143J Β· 1 section
Imposition of requirements on non-authorised parent undertakingss 143K–s 143Q Β· 7 sections
Control of managers etc of non-authorised parent undertakingss 143R–s 143V Β· 5 sections
Disciplinary measures for non-authorised parent undertakingss 143W–s 143Z Β· 4 sections
Part X β€” Rules and Guidances 144 Β· 1 section
Chapter I β€” Rule-making Powerss 144 Β· 1 section
PART 9D β€” Prudential regulation of credit institutions etcs 144A–s 144H Β· 8 sections
Interpretations 144A–s 144B Β· 2 sections
Making CRR ruless 144C–s 144F Β· 4 sections
Content of CRR ruless 144G–s 144H Β· 2 sections
Part X β€” Rules and Guidances 145–s 164 Β· 21 sections
Chapter I β€” Rule-making Powerss 145–s 156 Β· 12 sections
Chapter II β€” Guidances 157–s 158A Β· 3 sections
Chapter III β€” Competition Scrutinys 159–s 164 Β· 6 sections
Part XI β€” Information Gathering and Investigationss 165–s 177A Β· 20 sections
Powers to gather informations 165–s 166A Β· 6 sections
Appointment of investigatorss 167–s 168 Β· 2 sections
Assistance to overseas regulatorss 169–s 169A Β· 2 sections
Conduct of investigationss 170–s 176A Β· 8 sections
Offencess 177 Β· 1 section
Interpretations 177A Β· 1 section
Part XII β€” Control Over Authorised Personss 178–s 192 Β· 26 sections
Notices of acquisitions of control over UK authorised personss 178–s 180 Β· 3 sections
Acquiring control and other changes of holdings 181–s 184 Β· 4 sections
Assessment procedures 185–s 191 Β· 11 sections
Enforcement proceduress 191A–s 191C Β· 3 sections
Notice of reductions of control of UK authorised personss 191D–s 191E Β· 2 sections
Offencess 191F Β· 1 section
Interpretations 191G Β· 1 section
Miscellaneouss 192 Β· 1 section
PART 12A β€” Powers exercisable in relation to parent undertakingss 192A–s 192N Β· 14 sections
Introductorys 192A–s 192B Β· 2 sections
Power of directions 192C–s 192I Β· 7 sections
Rules requiring provision of information by parent undertakingss 192J Β· 1 section
Failure to comply with direction or breach of ruless 192K–s 192N Β· 4 sections
PART 12B β€” Approval of certain holding companiess 192O–s 192Z3 Β· 15 sections (5 directly here)
Interpretations 192O Β· 1 section
Approvals 192P–s 192X Β· 9 sections
PART 12A β€” Powers exercisable in relation to parent undertakingss 192JA–s 192JB Β· 2 sections
Rules applying to parent undertakings of ring-fenced bodiess 192JA Β· 1 section
Rules requiring parent undertakings to facilitate resolutions 192JB Β· 1 section
PART 12B β€” Approval of certain holding companiess 192XA–s 192XC Β· 3 sections
Ruless 192XA–s 192XC Β· 3 sections
Part XIII β€” Incoming Firms: Intervention by FCA or PRAs 193–s 203 Β· 19 sections
Interpretations 193–s 196 Β· 11 sections
Exercise of power of interventions 197–s 199A Β· 4 sections
Supplementals 200–s 202 Β· 3 sections
Powers of Office of Fair Tradings 203 Β· 1 section
PART 13A β€” Enhanced supervision of firms exercising rights under the Insurance Distribution Directives 203A–s 203D Β· 4 sections
Part XIII β€” Incoming Firms: Intervention by FCA or PRAs 204 Β· 1 section
Powers of Office of Fair Tradings 204 Β· 1 section
Part XIV β€” Disciplinary Measuress 204A–s 211 Β· 11 sectionsPart XV β€” The Financial Services Compensation Schemes 212–s 224A Β· 36 sections
The scheme managers 212 Β· 1 section
The schemes 213 Β· 1 section
Provisions of the schemes 214–s 217 Β· 14 sections
Relationship with the regulatorss 217A Β· 1 section
Annual plan and reports 217B Β· 1 section
Provisions of the schemes 217ZA–s 217ZB Β· 2 sections
Annual plan and reports 218 Β· 1 section
Information and documentss 218A–s 218B Β· 2 sections
Annual plan and reports 218ZA Β· 1 section
Information and documentss 219–s 221 Β· 4 sections
Miscellaneouss 221A–s 224A Β· 8 sections
Part 15A β€” Power to require FSCS manager to act in relation to other schemess 224B–s 224F Β· 5 sections
Introductions 224B Β· 1 section
Power to require FSCS manager to acts 224C–s 224E Β· 3 sections
Ruless 224F Β· 1 section
Part XV β€” The Financial Services Compensation Schemes 224ZA Β· 1 section
Miscellaneouss 224ZA Β· 1 section
Part XVI β€” The Ombudsman Schemes 225–s 234B Β· 15 sections
The schemes 225–s 227 Β· 4 sections
Determination of complaintss 228–s 230A Β· 4 sections
Informations 231–s 233 Β· 4 sections
Fundings 234–s 234A Β· 2 sections
Successors to businessess 234B Β· 1 section
PART 16A β€” Consumer protection and competitions 234C–s 234O Β· 13 sections
Super-complaints and references to FCAs 234C–s 234G Β· 5 sections
Competitions 234H–s 234O Β· 8 sections
Part XVII β€” Collective Investment Schemess 235–s 284 Β· 114 sectionsChapter I β€” Interpretations 235–s 237 Β· 5 sectionsChapter II β€” Restrictions on Promotions 238–s 241 Β· 4 sectionsCHAPTER 2A β€” PROHIBITION ON ISSUE OF BEARER UNITSs 241A Β· 1 sectionChapter III β€” Authorised Unit Trust Schemess 242–s 261B Β· 25 sectionsCHAPTER 3A β€” AUTHORISED CONTRACTUAL SCHEMESs 261C–s 261Z5 Β· 29 sectionsCHAPTER 3B β€” Unauthorised co-ownership AIFss 261Z6 Β· 1 section
CHAPTER 3A β€” AUTHORISED CONTRACTUAL SCHEMESs 261EA Β· 1 section
Chapter IV β€” Open-ended Investment Companiess 262–s 263 Β· 2 sectionsChapter V β€” Recognised Overseas Schemess 264–s 283 Β· 43 sectionsCHAPTER 5A β€” MASTER-FEEDER STRUCTURESs 283A–s 283B Β· 2 sectionsChapter VI β€” Investigationss 284 Β· 1 sectionPART 17A β€” Transformer Vehicless 284A Β· 1 sectionPart XVIII β€” Recognised investment exchanges, clearing houses , CSDs and other partiess 285–s 313 Β· 123 sectionsChapter I β€” Exemptions 285–s 301 Β· 40 sectionsCHAPTER 1A β€” CONTROL OVER RECOGNISED INVESTMENT EXCHANGEs 301A–s 301M Β· 13 sectionsChapter II β€” Competition Scrutinys 302–s 309 Β· 8 sections (1 directly here)CHAPTER 2A β€” Performance of functions of recognised bodiess 309A–s 309Z8 Β· 34 sections
Chapter II β€” Competition Scrutinys 310 Β· 1 section
Chapter III β€” Exclusion from the Competition Act 1998s 311–s 312 Β· 2 sectionsCHAPTER 3A β€” PASSPORT RIGHTSs 312A–s 312D Β· 4 sectionsCHAPTER 3B β€” Disciplinary measures in respect of recognised bodiess 312E–s 312K Β· 7 sectionsCHAPTER 3C β€” Critical third partiess 312L–s 312W Β· 12 sections
CHAPTER 3B β€” Disciplinary measures in respect of recognised bodiess 312FA Β· 1 section
Chapter IV β€” Interpretations 313 Β· 1 sectionPart 18A β€” SUSPENSION AND REMOVAL OF FINANCIAL INSTRUMENTS FROM TRADINGs 313A–s 313CBA Β· 13 sectionsPart XIX β€” Lloyd’ss 314–s 324 Β· 12 sections
Generals 314–s 314A Β· 2 sections
The Societys 315 Β· 1 section
Power to apply Act to Lloyd’s underwritings 316–s 319 Β· 4 sections
Former underwriting memberss 320–s 322 Β· 3 sections
Transfers of business done at Lloyd’ss 323 Β· 1 section
Supplementals 324 Β· 1 section
Part XX β€” Provision of Financial Services by Members of the Professionss 325–s 333 Β· 9 sectionsPART 20A β€” PENSIONS GUIDANCEs 333A–s 333R Β· 18 sections (1 directly here)
Giving of pensions guidances 333B–s 333D Β· 3 sections
Designation of guidance providerss 333E Β· 1 section
Co-operation and information sharings 333F Β· 1 section
False claims when giving pensions guidances 333G Β· 1 section
Standards for giving of pensions guidance by designated guidance providerss 333H–s 333N Β· 7 sections
FCA 's duties and power to give guidances 333O–s 333P Β· 2 sections
Funding of pensions guidances 333Q–s 333R Β· 2 sections
PART 20B β€” Illegal Money Lendings 333S–s 333T Β· 2 sectionsPart XXI β€” Mutual Societiess 334–s 339 Β· 6 sections
Friendly societiess 334–s 335 Β· 2 sections
Building societiess 336–s 337 Β· 2 sections
Industrial and provident societies and credit unionss 338 Β· 1 section
Supplementals 339 Β· 1 section
Part XXII β€” Auditors and Actuariess 339A–s 346 Β· 15 sections
General duties of regulators 339A–s 339C Β· 3 sections
Appointments 340 Β· 1 section
Informations 341–s 344 Β· 4 sections
Disciplinary measuress 345–s 345E Β· 6 sections
Offences 346 Β· 1 section
Part XXIII β€” Public Record, Disclosure of Information and Co-operations 347–s 354H Β· 19 sections
The public records 347–s 347A Β· 2 sections
Disclosure of informations 348–s 353 Β· 7 sections
Information received from Bank of Englands 353A Β· 1 section
Co-operations 354–s 354C Β· 4 sections
Provision of information to ESMA, the Commission and other EEA Statess 354D–s 354H Β· 5 sections
Part XXIV β€” Insolvencys 355–s 379A Β· 41 sections
Interpretations 355 Β· 1 section
Arrangements and reconstructions: companies in financial difficultys 355A–s 355B Β· 2 sections
Voluntary arrangementss 356–s 358 Β· 3 sections
Administration orderss 359–s 362A Β· 5 sections
Receiverships 363–s 364 Β· 2 sections
Voluntary winding ups 365–s 366 Β· 2 sections
Winding up by the courts 367–s 371 Β· 6 sections
Bankruptcys 372–s 374 Β· 3 sections
Provisions against debt avoidances 375 Β· 1 section
Supplemental provisions concerning insurerss 376–s 379 Β· 15 sections
Settlement finalitys 379A Β· 1 section
Part XXV β€” Injunctions and Restitutions 380–s 386 Β· 7 sections
Injunctionss 380–s 381 Β· 2 sections
Restitution orderss 382–s 383 Β· 2 sections
Restitution required by FCA or PRAs 384–s 386 Β· 3 sections
Part XXVI β€” Noticess 387–s 396 Β· 16 sections
Warning noticess 387 Β· 1 section
Decision noticess 388 Β· 1 section
Conclusion of proceedingss 389–s 390 Β· 2 sections
Publications 391–s 391F Β· 7 sections
Third party rights and access to evidences 392–s 394 Β· 3 sections
The FCA's and PRA's proceduress 395–s 396 Β· 2 sections
Part XXVII β€” Offencess 397–s 403 Β· 7 sections
Miscellaneous offencess 397–s 399 Β· 3 sections
Bodies corporate and partnershipss 400 Β· 1 section
Institution of proceedingss 401–s 403 Β· 3 sections
Part XXVIII β€” Miscellaneouss 404–s 416B Β· 32 sections
Consumer redress schemess 404–s 404G Β· 8 sections
Third countriess 405–s 409 Β· 5 sections
International powers and obligationss 409A–s 410 Β· 3 sections
Fees to meet Treasury expensess 410A–s 410B Β· 2 sections
Tax treatment of levies and repaymentss 411 Β· 1 section
Gaming contractss 412 Β· 1 section
Trade-matching and reporting systemss 412A–s 412B Β· 2 sections
Limitation on powers to require documentss 413 Β· 1 section
Service of noticess 414 Β· 1 section
Jurisdictions 415 Β· 1 section
Powers under the Acts 415A Β· 1 section
Consultation and co-operations 415B–s 415C Β· 2 sections
Powers under the Acts 415AA Β· 1 section
Removal of certain unnecessary provisionss 416 Β· 1 section
Sustainability disclosure requirementss 416A–s 416B Β· 2 sections
Part XXIX β€” Interpretations 417–s 425C Β· 19 sectionsPart XXX β€” Supplementals 426–s 433 Β· 8 sections
SchedulesSch 1 para 1–Sch 21 para 2 Β· 642 sections
SCHEDULE 1 β€” The Financial Services AuthoritySch 1 para 1–Sch 1 para 21 Β· 23 sections
SCHEDULE 1ZA β€” The Financial Conduct AuthoritySch 1ZA para 1–Sch 1ZA para 29 Β· 33 sections
SCHEDULE 1ZB β€” The Prudential Regulation AuthoritySch 1ZB para 1–Sch 1ZB para 37 Β· 38 sections
SCHEDULE 1A β€” Further provision about the consumer financial education bodySch 1A para 1–Sch 1A para 16 Β· 19 sectionsSCHEDULE 2 β€” Regulated ActivitiesSch 2 para 1–Sch 2 para 27 Β· 38 sectionsSCHEDULE 2A β€” Gibraltar-based persons carrying on activities in the UKSch 2A para 1–Sch 2A para 83 Β· 83 sectionsSCHEDULE 3 β€” EEA Passport RightsSch 3 para 1–Sch 3 para 29 Β· 54 sectionsSCHEDULE 4 β€” Treaty RightsSch 4 para 1–Sch 4 para 6 Β· 7 sectionsSCHEDULE 5 β€” Persons Concerned in Collective Investment SchemesSch 5 para 1–Sch 5 para 2 Β· 2 sectionsSCHEDULE 6 β€” Threshold ConditionsSch 6 para ...–Sch 6 para 9 Β· 30 sectionsSCHEDULE 6A β€” Variation or cancellation of Part 4A permission on initiative of FCA: additional powerSch 6A para 1–Sch 6A para 8 Β· 8 sectionsSCHEDULE 6B β€” Designated activitiesSch 6B para 1–Sch 6B para 13 Β· 13 sectionsSCHEDULE 7 β€” GeneralSch 7 para 1–Sch 7 para 8 Β· 8 sectionsSCHEDULE 8 β€” The power to transferSch 8 para 1–Sch 8 para 3 Β· 3 sectionsSCHEDULE 9 β€” General application of Part VISch 9 para 1–Sch 9 para 7 Β· 7 sectionsSCHEDULE 10 β€” Compensation: ExemptionsSch 10 para 1–Sch 10 para 8 Β· 8 sectionsSCHEDULE 10A β€” LIABILITY OF ISSUERS IN CONNECTION WITH PUBLISHED INFORMATIONSch 10A para 1–Sch 10A para 8 Β· 8 sectionsSCHEDULE 11 β€” The general ruleSch 11 para 1–Sch 11 para 25 Β· 26 sectionsSCHEDULE 11A β€” TRANSFERABLE SECURITIESSch 11A para 1–Sch 11A para 9 Β· 9 sectionsSCHEDULE 11B β€” CONNECTED PERSONSSch 11B para 1–Sch 11B para 12 Β· 12 sectionsSCHEDULE 12 β€” Transfer schemes: certificatesSch 12 para 1–Sch 12 para 10 Β· 16 sectionsSCHEDULE 13 β€” GeneralSch 13 para 1–Sch 13 para 13 Β· 13 sectionsSCHEDULE 14 β€” Role of the Competition CommissionSch 14 para 1–Sch 14 para 4 Β· 7 sectionsSCHEDULE 15 β€” Information and Investigations: Connected PersonsSch 15 para 1–Sch 15 para 8 Β· 8 sectionsSCHEDULE 16 β€” Prohibitions and Restrictions imposed by OFFICE OF FAIR TRADINGSch 16 para 1–Sch 16 para 5 Β· 5 sectionsSCHEDULE 17 β€” The Ombudsman SchemeSch 17 para 1–Sch 17 para 22 Β· 32 sectionsSCHEDULE 17A β€” Further provision in relation to exercise of Part 18 functions , or other FMI functions, by Bank of EnglandSch 17A para 1–Sch 17A para 37 Β· 47 sectionsSCHEDULE 18 β€” MutualsSch 18 para 1–Sch 18 para 26 Β· 26 sectionsSCHEDULE 19 β€” Persons and functions for the purposes of section 351Sch 19 Pt I para 1–Sch 19 para 19 Β· 20 sectionsSCHEDULE 19A β€” The manager of a write-down orderSch 19A para 1–Sch 19A para 7 Β· 7 sectionsSCHEDULE 19B β€” Further provision about write-down ordersSch 19B para 1–Sch 19B para 11 Β· 11 sectionsSCHEDULE 19C β€” Insurers in financial difficulties: enforcement of contractsSch 19C para 1–Sch 19C para 12 Β· 12 sectionsSCHEDULE 20 β€” Minor and Consequential AmendmentsSch 20 para 1–Sch 20 para 7 Β· 7 sectionsSCHEDULE 21 β€” Transitional Provisions and SavingsSch 21 para 1–Sch 21 para 2 Β· 2 sections

Cite this legislation

Official citation
2000 c. 8
Source
legislation.gov.uk
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OGL-3 β†—

Financial Services and Markets Act 2000 (legislation.gov.uk, OGL-3). Retrieved via LawPlayer, https://lawplayer.com/uk/act/ukpga-2000-8

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