financial services and markets act 2000 pdf

232A.Scheme operator's duty to provide information to FCA. 8. 220. The FCA’s statutory objectives were set up under the Financial Services and Markets Act 2000 and amended by the Financial Services Act 2012. 1018 0 obj <> endobj Different options to open legislation in order to view more content on screen at once. Power to change definitions of control etc. Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001(S.I. Many translated example sentences containing "Financial Services and Markets Act 2000" – French-English dictionary and search engine for French translations. 4. ADVISER, AUTHORISED UNDER THE FINANCIAL SERVICES AND MARKETS ACT 2000 PROPOSAL FOR A SCHEME OF ARRANGEMENT in relation to CFP SDL UK BUFFETTOLOGY FUND (a sub-fund of Castlefield Funds, an investment company with variable capital) with CFP SDL UK BUFFETTOLOGY FUND (a sub-fund of CFP Sanford DeLand Funds, an investment company with variable capital) Notice of the … Partnerships and unincorporated associations. Certificates for purposes of insurance business transfers overseas. Matters which may be dealt with by prospectus rules, Prohibition of dealing etc. Power of OFT to request information. Variation of permission on acquisition of control. Exemption of appointed representatives. Rescission and variation of requirements. 419. 243A.Authorisation orders: authorised money market funds. Carrying on regulated activities by way of business. 14. 137B.FCA general rules: clients' money, right to rescind etc. Section 162: modification of Schedule 7 to the Competition Act... Reports under section 162: further provision, Information and Investigations: Connected Persons. 15. PRA's power to require information: financial stability, Safeguards etc in relation to exercise of power under section 165A, Appointment of skilled person to collect and update information. Amounts required by rules to be paid to the PRA. PART 16A Consumer protection and competition, 234D.Reference by scheme operator or regulated person, 234H.Power of FCA to make request to Competition and Markets Authority, 234I.The FCA's functions under Part 4 of the Enterprise Act 2002, 234J.The FCA's functions under the Competition Act 1998, 234K.Duty to consider exercise of powers under Competition Act 1998, 234L.Provision of information and assistance to a CMA group, 234M.Function of keeping market under review. Orders in relation to the general prohibition. Requests for revocation of authorisation order. Suspending permission to carry on regulated activities etc. 10. Powers of FCA and PRA to participate in proceedings: company voluntary arrangements. Duty to meet auditors of certain institutions, 339C.PRA-authorised persons to which this section applies. 115. Rules applicable to former underwriting members. Administrator appointed by company or directors. Industrial and provident societies and credit unions. 20. Arrangements for the investigation of complaints. Powers to require information and supplemental provisions, 122A.Power to require information from issuers, 122B.General power to require information, 122C.Power to require information: supplementary, 122E.Retention of documents taken under section 122D, 122G.Publication of information and corrective statements by issuers, 122H.Publication of corrective statements generally, 122HA.Publication of corrective statements relating to benchmarks, 122I.Power to suspend trading in financial instruments, 122IA.Power to suspend auctioning of auctioned products on a recognised auction platform, 123. Any changes that have already been made by the team appear in the content and are referenced with annotations. 11. Limits on effect of contravening rules. 21. 112ZA.Duty of regulator to provide copy of order. 254. Disclosure rules: persons responsible for compliance. For more information see the EUR-Lex public statement on re-use. Power to restrict the carrying on of Consumer Credit Act business. 375. 6. 31. The Whole Act you have selected contains over 200 provisions and might take some time to download. Variation of permission on acquisition of control. 0000006682 00000 n Recognition orders: role of the Treasury. Part VIII Provisions relating to market abuse, 118A.Supplementary provision about certain behaviour. The Control of Misleading Advertisements Regulations 1988, The Electricity (Northern Ireland) Order 1992, Part IV of the Airports (Northern Ireland) Order 1994. Regulators power to require information : authorised persons etc. Powers of appointed person and procedure. Agreements made unenforceable by section 26 or 27: general cases. Power to apply settlement finality regime to payment institutions. The modern form of redress is contained in section 90. Prohibitions and Restrictions imposed by OFFICE OF FAIR TRADING. �8�CR#��*��_��P�V&��(P�~�"��A��C��ב�� (�/�v��Z�D�R��:�t��$�j@��V� 79. Decision notices and right to refer to Tribunal. 20. 12. 197. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. 14. 228. Effect of insurance business transfers authorised in other EEA States. 0000020249 00000 n Application by an investment exchange. authorised under the Financial Services and Markets Act 2000 immediately. 10. Authorised persons acting without permission. 71A.Meaning of “relevant authorised person”, Removal of directors and senior executives and appointment of temporary manager, 71B.Removal of directors and senior executives, 71E.Temporary manager: further provisions in relation to the appointment, 71F.Temporary manager: instrument of appointment, 71G.Right to refer matters to the Tribunal, 71H.Removal of directors and senior executives and appointment of temporary manager: procedure. 264. Information given by auditor or actuary to a regulator: persons with close links. Powers of persons appointed under section 167. 256. 11. 8.“ EEA State ” has the meaning given by Schedule... 9.“Home state regulator” means the competent authority (within the meaning... 10.“UK firm” means a person whose relevant office is in... 10A.In paragraph 10, “ relevant office ” means—, 10B.” UK investment firm” means a UK firm—. Removal of other restrictions on disclosure. (1) A person conducting a review under paragraph 15—. Publication: special provisions relating to the capital requirements directive, Publication: special provisions relating to the transparency obligations directive, Publication: special provisions relating to the UCITS directive, Publication: special provisions relating to the markets in financial instruments directive, Publication: special provisions relating to the insurance distribution directive, Publication: special provisions relating to the prospectus regulation. 269. Exercise of own-initiative power: procedure. Procedure on giving directions under section 281 and varying them otherwise than as requested. Information: compliance with EU requirements. 419B.Carrying on claims management activity in Great Britain. Disciplinary measures: procedure and right to refer to Tribunal. 18. Changes in responsibilities of senior managers, Variation of senior manager's approval at request of relevant authorised person, Variation of senior manager's approval on initiative of regulator, Exercise of power under section 63ZB: procedure, Statement of policy relating to conditional approval and variation, Certification of employees by relevant authorised persons, Rules of conduct: responsibilities of relevant authorised persons, Requirement for relevant authorised persons to notify regulator of disciplinary action. 15. Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. 240. Powers of FCA and PRA to participate in proceedings. Power to disallow excessive regulatory provision, 300A.Power of appropriate regulator to disallow excessive regulatory provision, 300B.Duty to notify proposal to make regulatory provision, 300C.Restriction on making provision before appropriate regulator decides whether to act, 300D.Consideration by appropriate regulator whether to disallow proposed provision, 300E.Power to disallow excessive regulatory provision: supplementary, CHAPTER 1A CONTROL OVER RECOGNISED INVESTMENT EXCHANGE, Notices of acquisitions of control over recognised investment exchanges, 301A.Obligation to notify the FCA: acquisitions of control, 301B.Requirements for section 301A notices. Exemption from requirement of “limited” in Authority’s name. 24. Using computer-based systems for giving investment instructions. 23B. Notification by FCA of action in relation to recognised clearing houses. 7. 192. 8. Powers of court where information required. 391A.Publication: special provisions relating to the capital requirements directive, 391B.Publication: special provisions relating to the transparency obligations directive, 391C.Publication: special provisions relating to the UCITS directive, 391D.Publication: special provisions relating to the markets in financial instruments directive, 391E.Publication: special provisions relating to the insurance distribution directive, 391F.Publication: special provisions relating to the prospectus regulation, Third party rights and access to evidence. 28. Certificates for purposes of insurance business transfers overseas. 0000011096 00000 n Jonathan Cary and Jo Rickard of Shearman & Sterling (London) LLP outline the basis on which shareholder action groups may bring claims under section 90 of the Financial Services and Markets Act 2000. 0000019486 00000 n 12. 261A.Information for home state regulator, 261C.Applications for authorisation of contractual schemes, 261D.Authorisation orders : authorised contractual schemes, 261E. Ombudsman’s power to require information. Parliamentary control in relation to certain orders under section 23. 1. The regulatory objectives 3. Carrying on regulated activities in the United Kingdom. 232. 27. False claims to be authorised or exempt. 9.A certificate under this paragraph is one given by the... Part 2A Reclaim fund business transfer schemes, 9D.Certificate as to consent of home state regulator, Part III Insurance business transfers effected outside the United Kingdom. 116. 4 Insurance market activity has the meaning given in section 316(3) of the Financial Services and Markets Act 2000 (section 1165(7)). 329. 358. 412A.Approval and monitoring of trade-matching and reporting systems, 412B.Procedure for approval and suspension or withdrawal of approval, Limitation on powers to require documents, 415B.Consultation in relation to taking certain enforcement action, Removal of certain unnecessary provisions. General duty of disclosure in listing particulars. The emission allowance auctioning regulation. Industrial and provident societies and credit unions. Exercise of own-initiative power: procedure. Provisions included in the FCA's code by reference to the City Code. Contravention by relevant EEA firm with UK branch of requirement under markets in financial instruments directive: appropriate regulator primarily responsible for securing compliance, 194B.Contravention by relevant EEA firm of requirement in capital requirements directive or capital requirements regulation, 194C.Contravention by relevant EEA firm with UK branch of requirement in mortgages directive: appropriate regulator primarily responsible for securing compliance, 194D.Contravention by relevant EEA firm of requirement in insurance distribution directive: appropriate regulator primarily responsible for securing compliance. Applications for approval: procedure and right to refer to Tribunal. 0000007050 00000 n 20. Insurers: service of petition etc. There are changes that may be brought into force at a future date. 26. Accepting deposits in breach of general prohibition. Individually recognised overseas schemes. Procedure when refusing an application. Management companies: loss of authorisation. Authority’s duty to consider other permissions etc. Applications for authorisation of contractual schemes, Authorisation orders : authorised contractual schemes, Authorised contractual schemes: holding of units, Effect of becoming or ceasing to be a participant, Segregated liability in relation to umbrella co-ownership schemes, Alteration of contractual schemes and changes of operator or depositary, Procedure when refusing approval of a proposal under section 261Q, Revocation of authorisation order otherwise than by consent, Procedure for revoking authorisation order, Requests for revocation of authorisation order, Procedure on giving directions under section 261X or 261Z and varying them on FCA’s own initiative, Procedure: refusal to revoke or vary direction, Procedure: revocation of direction and grant of request for variation. Ombudsman’s power to require information. (1) Section 401 (proceedings for an offence) applies to the... 32.Paragraph 17 of Schedule 1ZB (records) applies in relation to... 33.Paragraph 19 of Schedule 1ZB (annual report by PRA) applies... Part 3 Winding up, administration or insolvency of recognised clearing houses, Notice to Bank of England of preliminary steps. 10. This site additionally contains content derived from EUR-Lex, reused under the terms of the Commission Decision 2011/833/EU on the reuse of documents from the EU institutions. We can provide these investment services if they are an incidental part of the professional services we have been engaged to provide. Provisions included in the FCA's code by reference to the City Code. Sanction of the court for business transfer schemes. Scheme manager’s power to require information. 19. Financial Services and Markets Act 2000 if you are in the United Kingdom or, if you are not in the United Kingdom, another appropriately authorised independent financial adviser. between regulators, 142R.Relationship with regulators' powers under Parts 4A and 12A, Failure of parent undertaking to comply with direction, 142S.Power to impose penalty or issue censure, 142T.Procedure and right to refer to Tribunal, 142V.Imposition of penalties under section 142S: statement of policy, 142X.Further interpretative provisions for section 142W, 142Y.Power of Treasury in relation to loss-absorbency requirements, 142Z.Affirmative procedure in relation to certain orders under Part 9B, 139D.Sections 139B and 139C: interpretation, 139E.Rules about recovery and resolution plans: supplementary provision, 139F.Special provision in relation to resolution plans. 331. Procedure when refusing approval of a proposal under section 251. Powers exercisable in relation to recognised bodies, Application by an investment exchange: persons connected with an applicant, Application by a central securities depository, Variation of central counterparty recognition order, Refusal of recognition on ground of excessive regulatory provision. The Authority must maintain satisfactory arrangements for—. 231. General duty of disclosure in listing particulars. Powers of FCA and PRA to participate in proceedings. Certificate as to consent of home state regulator. trailer long time to run. 351A.Disclosure under the UCITS directive. Reclaim funds: service of petition etc on FCA and PRA, Liquidator's duty to report to FCA and PRA. Imposition of penalties on auditors or actuaries: statement of policy. on FCA and PRA. Notification: overseas investment exchanges and overseas clearing houses. Exercise of power in support of overseas regulator. 25. 28. 224. Enhancing public understanding of financial matters etc. Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 that was amended or inserted by the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017. 343. Appropriate regulator's power to give directions. 403. Authorised contractual schemes: holding of units, 261EA.Authorisation orders: authorised money market funds, 261G.Procedure when refusing an application, 261J.Contractual scheme particulars rules, Co-ownership schemes: rights and liabilities of participants, 261N.Effect of becoming or ceasing to be a participant, 261P.Segregated liability in relation to umbrella co-ownership schemes, 261Q.Alteration of contractual schemes and changes of operator or depositary, 261R.Procedure when refusing approval of a proposal under section 261Q, 261S.Proposal to convert to a non-feeder UCITS, 261U.Revocation of authorisation order otherwise than by consent, 261V.Procedure for revoking authorisation order, 261W.Requests for revocation of authorisation order, 261Z.Winding up or merger of master UCITS, 261Z1.Procedure on giving directions under section 261X or 261Z and varying them on FCA’s own initiative, 261Z2.Procedure: refusal to revoke or vary direction, 261Z3.Procedure: revocation of direction and grant of request for variation, 261Z4.Information for home state regulator, Chapter IV Open-ended Investment Companies. Regular provision of information relating to compliance with requirements for recognition. 23. 16. Power to change definitions of control etc. 98. Restriction on managers of certain collective investment schemes. (1) The constitution of the Authority must continue to provide... Non-executive members of the governing body. 34. Restitution orders in cases of market abuse. Alteration of schemes and changes of operator, trustee or depositary. 7. 243. Proceedings before Tribunal: decision and supervisory notices, etc. 10. 23. 277A.Regular provision of information relating to compliance with requirements for recognition. 18. (1) The FCA may appoint an independent person to conduct... (1) A person conducting a review under paragraph 15—. 13. 204. Exemption from the general prohibition. 0000002659 00000 n 23A.Parliamentary control in relation to certain orders under section 23. Insurance business: regulations supplementing Authority’s rules. 16. (1) The underwriting capacity of a Lloyd’s syndicate. 5. Rights under a contract for the sale of a commodity... Rights under— (a) a contract for differences; or. 368. Rules in relation to persons to whom the general prohibition does not apply. 291. 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. fin. 29. (1) Rights under any contract under which one person provides... Other finance arrangements involving land. 4. The Schedules you have selected contains over 200 provisions and might take some time to download. 384. 24. Agreements made unenforceable by section 26 or 27: general cases. 142. The Financial Services and Markets Act 2000: A Guide to the New Law | Alcock, Alistair | ISBN: 9780853085638 | Kostenloser Versand für alle Bücher mit Versand und Verkauf duch Amazon. Powers of FCA or PRA to participate in proceedings. (1) Section 52 of the 1992 Act is amended as... 16.References in any provision of, or made under, any enactment... 17.Omit section 9 (initial authorisation to raise funds and borrow... 18.Omit Schedule 3 (supplementary provisions about authorisation). (1) Subject to sub-paragraphs (4D) to (4I), a UK firm... 20ZA.Information for host state regulator. 404D.Applications to Tribunal to quash rules or provision of rules, 404G.Power to widen the scope of consumer redress schemes. Power to require information from issuers, Power to require information: supplementary, Retention of documents taken under section 122D, Publication of information and corrective statements by issuers, Publication of corrective statements generally, Publication of corrective statements relating to benchmarks, Power to suspend trading in financial instruments, Power to suspend auctioning of auctioned products on a recognised auction platform, Power to impose penalties or issue censure, Power to prohibit individuals from managing or dealing, Suspending permission to carry on regulated activities etc. 59. in transferable securities without approved prospectus, 86.Exempt offers to the public and admissions to trading, 87A.Criteria for approval of prospectus by FCA, 87C.Consideration of application for approval, 87D.Procedure for decision to refuse an application for approval, Transfer of application for approval of a prospectus, 87E.Transfer by FCA of application for approval, 87F.Transfer to FCA of application for approval, 87H.Prospectus approved in another EEA State, 87I.Provision of information to host Member State, 87J.Requirements imposed as condition of approval, 87JA.Power to suspend scrutiny of prospectus, 87JB.Power to refuse approval of a prospectus, 87K.Power to suspend , restrict or prohibit offer to the public, 87L.Power to suspend , restrict or prohibit admission to trading on a regulated market, 87LA.Power of FCA to suspend or prohibit trading on a trading facility, 87N.Right to refer matters to the Tribunal, 87O.Procedure under sections 87JA, 87K, 87L and 87LA, 87P.Exercise of powers at request of competent authority of another EEA State, 88A.Disciplinary powers: contravention of s.88(3)(c) or (e), 88B.Action under s.88A: procedure and right to refer to Tribunal, 88C.Action under s.88A: statement of policy, 88D.Statement of policy under s.88C: procedure, 88E.Powers exercisable to advance operational objectives, 89C.Provision of information by issuers of transferable securities, 89D.Notification of voting rights held by issuer, 89E.Notification of proposed amendment of issuer's constitution, 89F.Transparency rules: interpretation etc, 89G.Transparency rules: other supplementary provisions, 89I.Requirements in connection with call for information, 89J.Power to call for information: supplementary provisions, Powers exercisable in case of infringement of transparency obligation, 89L.Power to suspend or prohibit trading of securities, 89N.Right to refer matters to the Tribunal, 89Q.Disciplinary powers: contravention of s.89P(4)(b) or (d), 89R.Action under s.89Q: procedure and right to refer to Tribunal, 89S.Action under s.89Q: statement of policy, 89T.Statement of policy under s.89S: procedure, 89U.Powers exercisable to advance operational objectives, Compensation for false or misleading statements etc, 90.Compensation for statements in listing particulars or prospectus, 90ZA.Liability for key investor information, 90A.Liability of issuers in connection with published information, 90B.Power to make further provision about liability for published information. 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