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Financial Services Act 2021

Changes to legislation:

Financial Services Act 2021 is up to date with all changes known to be in force on or before 04 May 2024. There are changes that may be brought into force at a future date. Help about Changes to Legislation

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Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below.

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  • specified provision(s) amendment to earlier commencing S.I. 2021/671, reg. 5 by S.I. 2021/1163 reg. 2

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You searched for provisions that are applicable to Wales. The matching provisions are highlighted below. Where no highlighting is shown the matching result may be contained within a footnote.

  1. Introductory TextNext Match

  2. Prudential regulation of credit institutions and investment firmsPrevious MatchNext Match

    1. 1.Exclusion of certain investment firms from the Capital Requirements RegulationPrevious MatchNext Match

    2. 2.Prudential regulation of certain investment firms by FCA rulesPrevious MatchNext Match

    3. 3.Transfer of certain prudential regulation matters into PRA rulesPrevious MatchNext Match

    4. 4.CRR Basel standardsPrevious MatchNext Match

    5. 5.Prudential regulation of credit institutions etc by PRA rulesPrevious MatchNext Match

    6. 6.Power to amend the Credit Rating Agencies RegulationPrevious MatchNext Match

    7. 7.Amendments of the Capital Requirements RegulationPrevious MatchNext Match

  3. BenchmarksPrevious MatchNext Match

    1. 8.Review of which benchmarks are critical benchmarksPrevious MatchNext Match

    2. 9.Mandatory administration of a critical benchmarkPrevious MatchNext Match

    3. 10.Prohibition on new use where administrator to cease providing critical benchmarkPrevious MatchNext Match

    4. 11.Assessment of representativeness of critical benchmarksPrevious MatchNext Match

    5. 12.Mandatory contribution to critical benchmarksPrevious MatchNext Match

    6. 13.Designation of certain critical benchmarksPrevious MatchNext Match

    7. 14.Use of Article 23A benchmarksPrevious MatchNext Match

    8. 15.Orderly cessation of Article 23A benchmarksPrevious MatchNext Match

    9. 16.Review of exercise of powers under Article 23DPrevious MatchNext Match

    10. 17.Policy statements relating to critical benchmarksPrevious MatchNext Match

    11. 18.Critical benchmarks provided for different currencies etcPrevious MatchNext Match

    12. 19.Changes to and cessation of a benchmarkPrevious MatchNext Match

    13. 20.Extension of transitional period for benchmarks with non-UK administratorsPrevious MatchNext Match

    14. 21.Benchmarks: minor and consequential amendmentsPrevious MatchNext Match

  4. Access to financial services marketsPrevious MatchNext Match

    1. 22.Regulated activities and GibraltarPrevious MatchNext Match

    2. 23.Power to make provision about GibraltarPrevious MatchNext Match

    3. 24.Collective investment schemes authorised in approved countriesPrevious MatchNext Match

    4. 25.Individually recognised overseas collective investment schemesPrevious MatchNext Match

    5. 26.Money market funds authorised in approved countriesPrevious MatchNext Match

    6. 27.Provision of investment services etc in the UKPrevious MatchNext Match

  5. Variation or cancellation of permission to carry on regulated activityPrevious MatchNext Match

    1. 28.Part 4A permissions: variation or cancellation on initiative of FCAPrevious MatchNext Match

  6. Rules about level of care provided by authorised personsPrevious MatchNext Match

    1. 29.FCA rules about level of care provided to consumers by authorised personsPrevious MatchNext Match

  7. Insider dealing and money laundering etcPrevious MatchNext Match

    1. 30.Insider lists and managers' transactionsPrevious MatchNext Match

    2. 31.Maximum sentences for insider dealing and financial services offencesPrevious MatchNext Match

    3. 32.Money laundering offences: electronic money institutions, payment institutions and deposit-taking bodiesPrevious MatchNext Match

    4. 33.Forfeiture of money: electronic money institutions and payment institutionsPrevious MatchNext Match

    5. 34.Application of money laundering regulations to overseas trusteesPrevious MatchNext Match

  8. Debt respite schemePrevious MatchNext Match

    1. 35.Debt respite schemePrevious MatchNext Match

  9. Help to savePrevious MatchNext Match

    1. 36.Successor accounts for Help-to-Save saversPrevious MatchNext Match

  10. MiscellaneousPrevious MatchNext Match

    1. 37.Regulated activities and application of Consumer Credit Act 1974Previous MatchNext Match

    2. 38.Amendments of the PRIIPs Regulation etcPrevious MatchNext Match

    3. 39.Retention of personal data under the Market Abuse RegulationPrevious MatchNext Match

    4. 40.Over the counter derivatives: clearing and procedures for reportingPrevious MatchNext Match

    5. 41.Regulations about financial collateral arrangementsPrevious MatchNext Match

    6. 42.Appointment of chief executive of FCAPrevious MatchNext Match

    7. 43.Subordinate legislation made under retained direct EU legislationPrevious MatchNext Match

    8. 44.Payment services and the provision of cashPrevious MatchNext Match

  11. GeneralPrevious MatchNext Match

    1. 45.Power to make consequential provisionPrevious MatchNext Match

    2. 46.RegulationsPrevious MatchNext Match

    3. 47.InterpretationPrevious MatchNext Match

    4. 48.ExtentPrevious MatchNext Match

    5. 49.Commencement and transitional provisionPrevious MatchNext Match

    6. 50.Short titlePrevious MatchNext Match

  12. SCHEDULES

    1. SCHEDULE 1Previous MatchNext Match

      Exclusion of certain investment firms from the Capital Requirements Regulation: consequential amendmentsPrevious MatchNext Match

      1. PART 1 Amendments of the Capital Requirements RegulationPrevious MatchNext Match

        1. 1.The Capital Requirements Regulation is amended as follows. Previous MatchNext Match

        2. 2.(1) Article 4(1) (definitions) is amended as follows. Previous MatchNext Match

        3. 3.(1) Article 4A (definitions: regulators' rules) is amended as follows....Previous MatchNext Match

        4. 4.For Article 4B substitute— Article 4B The consolidating supervisor The...Previous MatchNext Match

        5. 5.Before Article 11 (and the Section and Chapter headings before...Previous MatchNext Match

        6. 6.Omit Article 15 (derogation from the application of own funds...Previous MatchNext Match

        7. 7.Omit Article 16 (derogation from the application of the leverage...Previous MatchNext Match

        8. 8.Omit Article 17 (supervision of investment firms waived from the...Previous MatchNext Match

        9. 9.In Article 47c(5) (deduction for non-performing exposures), omit “and the...Previous MatchNext Match

        10. 10.In Article 49(6) (requirement for deduction where consolidation, supplementary supervision...Previous MatchNext Match

        11. 11.(1) Article 81(1)(a) (minority interests that qualify for inclusion in...Previous MatchNext Match

        12. 12.(1) Article 82(a) (Qualifying Additional Tier 1, Tier 1, Tier...Previous MatchNext Match

        13. 13.(1) Article 84 (minority interests included in consolidated Common Equity...Previous MatchNext Match

        14. 14.(1) Article 85 (qualifying Tier 1 instruments included in consolidated...Previous MatchNext Match

        15. 15.(1) Article 87 (qualifying own funds included in consolidated own...Previous MatchNext Match

        16. 16.In Article 93 (initial capital requirement on going concern)— Previous MatchNext Match

        17. 17.Omit Article 95 (own funds requirements for investment firms with...Previous MatchNext Match

        18. 18.Omit Article 96 (own funds requirements for IFPRU 730k firms)....Previous MatchNext Match

        19. 19.Omit Article 97 (own funds based on fixed overheads). Previous MatchNext Match

        20. 20.Omit Article 98 (own funds for investment firms on a...Previous MatchNext Match

        21. 21.In Article 100 (additional reporting requirements), in the second subparagraph,...Previous MatchNext Match

        22. 22.In Article 115(2) (exposures to regional governments or local authorities),...Previous MatchNext Match

        23. 23.In Article 119 (exposures to institutions), after paragraph 5 insert—...Previous MatchNext Match

        24. 24.(1) Article 136 (mapping of ECAI's credit assessments) is amended...Previous MatchNext Match

        25. 25.In Article 162(3) (maturity), in the second subparagraph, in point...Previous MatchNext Match

        26. 26.(1) Article 197 (eligibility of collateral under all approaches and...Previous MatchNext Match

        27. 27.In Article 199(8) (additional eligibility for collateral under the IRB...Previous MatchNext Match

        28. 28.In Article 200 (other funded credit protection), for point (c)...Previous MatchNext Match

        29. 29.In Article 202 (eligibility of protection providers under the IRB...Previous MatchNext Match

        30. 30.In Article 224(6) (supervisory volatility adjustment under Financial Collateral Comprehensive...Previous MatchNext Match

        31. 31.In Article 227(3) (conditions for applying 0% volatility adjustment under...Previous MatchNext Match

        32. 32.In Article 243(1) (criteria for STS securitisations qualifying for differentiated...Previous MatchNext Match

        33. 33.(1) Article 270e (securitisation mapping) is amended as follows. Previous MatchNext Match

        34. 34.In Article 290(3) (stress testing), for the words from “the...Previous MatchNext Match

        35. 35.(1) Article 304(5) (treatment of clearing members' exposure to clients)...Previous MatchNext Match

        36. 36.(1) Article 325u(5) (own funds requirements for residual risks) is...Previous MatchNext Match

        37. 37.(1) Article 325az (alternative internal model approach and permission to...Previous MatchNext Match

        38. 38.(1) Article 325bk(3) (calculation of stress scenario risk measure) is...Previous MatchNext Match

        39. 39.In Article 382(4) (scope of own funds requirements for CVA...Previous MatchNext Match

        40. 40.(1) Article 441(2) (indicators of global systemic importance) is amended...Previous MatchNext Match

        41. 41.In Article 450(1)(d) (remuneration policy) omit “19A.3.44R to 44DR and”....Previous MatchNext Match

        42. 42.In Article 456(1) (regulations modifying this Regulation) omit points (f)...Previous MatchNext Match

        43. 43.(1) Article 464B (power to make technical standards) is amended...Previous MatchNext Match

        44. 44.In Article 522(1)(b) (savings provisions: pre-exit decisions)— Previous MatchNext Match

        45. 45.In Annex 1 (classification of off-balance sheet items), in point...Previous MatchNext Match

        46. 46.(1) Annex 3 (items subject to supplementary reporting of liquid...Previous MatchNext Match

        47. 47.In the following provisions, for “FCA and PRA may each”...Previous MatchNext Match

      2. PART 2 Amendments of the Capital Requirements (Country-by-Country Reporting) Regulations 2013Previous MatchNext Match

        1. 48.The Capital Requirements (Country-by-Country Reporting) Regulations 2013 (S.I. 2013/3118) are...Previous MatchNext Match

        2. 49.(1) Regulation 1(2) (interpretation) is amended as follows. Previous MatchNext Match

        3. 50.In regulation 1, after paragraph (2) insert— Previous MatchNext Match

        4. 51.In regulation 1(3) (interpretation of references to EU legislation), for...Previous MatchNext Match

        5. 52.(1) Regulation 2 (ongoing reporting obligation) is amended as follows....Previous MatchNext Match

        6. 53.In regulation 3(1) (interim reporting obligation), after “Institutions” insert “...Previous MatchNext Match

        7. 54.(1) Regulation 4 (group disclosure) is amended as follows. Previous MatchNext Match

        8. 55.(1) Regulation 5 (prior disclosure: prevention of duplication) is amended...Previous MatchNext Match

        9. 56.In regulation 6(2) (enforcement)— (a) in sub-paragraph (a) omit “which...Previous MatchNext Match

    2. SCHEDULE 2Previous MatchNext Match

      Prudential regulation of FCA investment firmsPrevious MatchNext Match

      1. PART 1 New Part 9C of the Financial Services and Markets Act 2000Previous MatchNext Match

        1. 1.In the Financial Services and Markets Act 2000, after Part...Previous MatchNext Match

      2. PART 2 Minor and consequential amendmentsPrevious MatchNext Match

        1. 2.The Financial Services and Markets Act 2000 is amended as...Previous MatchNext Match

        2. 3.In section 133(7A) (proceedings before the Tribunal: meaning of “disciplinary...Previous MatchNext Match

        3. 4.In section 137A (the FCA's general rules), at the end...Previous MatchNext Match

        4. 5.In section 165(7) (regulators' power to require information), after paragraph...Previous MatchNext Match

        5. 6.(1) Section 166 (regulators' power to require reports by skilled...Previous MatchNext Match

        6. 7.(1) Section 167 (regulators' power to appoint investigators) is amended...Previous MatchNext Match

        7. 8.(1) In section 168(4), after paragraph (i) insert— Previous MatchNext Match

        8. 9.(1) Section 176 (entry of premises under warrant) is amended...Previous MatchNext Match

        9. 10.After section 177 insert— Interpretation Interpretation of Part 11 In this Part— “FCA investment firm” has the meaning given...Previous MatchNext Match

        10. 11.In section 347(1)(g) (record of authorised persons etc), after “order”...Previous MatchNext Match

        11. 12.In section 391(1ZB) (publication of warning notices), after paragraph (ia)...Previous MatchNext Match

        12. 13.In section 392 (application of third party rights to notices)—...Previous MatchNext Match

        13. 14.In section 395(13) (meaning of supervisory notice), after paragraph (bba)...Previous MatchNext Match

        14. 15.(1) Section 417(1) (definitions) is amended as follows. Previous MatchNext Match

        15. 16.In section 424A(1) (investment firm), after “this Act” insert “...Previous MatchNext Match

        16. 17.(1) Section 429 (parliamentary control of statutory instruments) is amended...Previous MatchNext Match

        17. 18.In paragraph 20(4) of Schedule 1ZA (enforcement costs), after paragraph...Previous MatchNext Match

      3. PART 3 Transitional provisionPrevious MatchNext Match

        1. Rules made before Part 1 of this Schedule comes into forcePrevious MatchNext Match

          1. 19.(1) The Financial Conduct Authority may identify general rules made...Previous MatchNext Match

        2. Pre-commencement consultation etcPrevious MatchNext Match

          1. 20.(1) In relation to Part 9C rules, the requirements of...Previous MatchNext Match

        3. Relevant equivalence decisionsPrevious MatchNext Match

          1. 21.For the purposes of section 143G of the Financial Services...Previous MatchNext Match

        4. Carbon targetPrevious MatchNext Match

          1. 22.In relation to the making of Part 9C rules that...Previous MatchNext Match

        5. InterpretationPrevious MatchNext Match

          1. 23.In this Part of this Schedule, “Part 9C rules” has...Previous MatchNext Match

    3. SCHEDULE 3Previous MatchNext Match

      Prudential regulation of credit institutions etcPrevious MatchNext Match

      1. PART 1 New Part 9D of the Financial Services and Markets Act 2000Previous MatchNext Match

        1. 1.In the Financial Services and Markets Act 2000, after Part...Previous MatchNext Match

      2. PART 2 PRA's powers in relation to certain holding companiesPrevious MatchNext Match

        1. 2.Part 12B of the Financial Services and Markets Act 2000...Previous MatchNext Match

        2. 3.Before section 192O insert— “ Interpretation ”. Previous MatchNext Match

        3. 4.(1) Section 192O(1) (interpretation) is amended as follows. Previous MatchNext Match

        4. 5.Before section 192P insert— “ Approval ”. Previous MatchNext Match

        5. 6.Omit section 192V (rules imposing consolidated or sub-consolidated requirements). Previous MatchNext Match

        6. 7.After section 192X insert— Rules Rules applying to holding companies...Previous MatchNext Match

        7. 8.In section 192Y(1) (power to impose penalty or issue censure),...Previous MatchNext Match

      3. PART 3 Minor and consequential amendmentsPrevious MatchNext Match

        1. Bank of England Act 1998 (c. 11)Previous MatchNext Match

          1. 9.(1) Section 9H of the Bank of England Act 1998...Previous MatchNext Match

        2. Financial Services and Markets Act 2000 (c. 8)Previous MatchNext Match

          1. 10.The Financial Services and Markets Act 2000 is amended as...Previous MatchNext Match

          2. 11.In section 137G (the PRA's general rules), at the end...Previous MatchNext Match

          3. 12.In section 138J(10) (consultation by the PRA), for “section 138L”...Previous MatchNext Match

          4. 13.In section 138K (consultation: mutual societies), at the end insert—...Previous MatchNext Match

          5. 14.(1) Section 192O (interpretation of Part 12B) is amended as...Previous MatchNext Match

          6. 15.In section 192R(3) (grant of approval)— (a) in paragraph (a)...Previous MatchNext Match

          7. 16.(1) Section 192T (measures) is amended as follows. Previous MatchNext Match

          8. 17.In section 192Y(1) (power to impose penalty or issue censure)—...Previous MatchNext Match

          9. 18.In section 417(1) (definitions), at the appropriate place, insert— “CRR...Previous MatchNext Match

          10. 19.In section 429(2) (parliamentary control of statutory instruments: affirmative procedure),...Previous MatchNext Match

        3. Capital Requirements Regulations 2013 (S.I. 2013/3115)Previous MatchNext Match

          1. 20.The Capital Requirements Regulations 2013 (meaning of “permission” etc) is...Previous MatchNext Match

          2. 21.In regulation 2(1), in the definition of “appropriate regulator”, at...Previous MatchNext Match

          3. 22.(1) Regulation 39 (meaning of “permission” etc) is amended as...Previous MatchNext Match

      4. PART 4 Transitional provisionPrevious MatchNext Match

        1. Pre-commencement consultation etcPrevious MatchNext Match

          1. 23.(1) In relation to general rules that are CRR rules,...Previous MatchNext Match

        2. Relevant equivalence decisionsPrevious MatchNext Match

          1. 24.For the purposes of section 144C of the Financial Services...Previous MatchNext Match

        3. Carbon targetPrevious MatchNext Match

          1. 25.In relation to the making of CRR rules or section...Previous MatchNext Match

        4. Section 192V rulesPrevious MatchNext Match

          1. 26.(1) Rules made by the Prudential Regulation Authority under section...Previous MatchNext Match

        5. InterpretationPrevious MatchNext Match

          1. 27.In this Part of this Schedule— “CRR rules” has the...Previous MatchNext Match

    4. SCHEDULE 4Previous MatchNext Match

      Amendments of the Capital Requirements RegulationPrevious MatchNext Match

      1. 1.The Capital Requirements Regulation is amended as follows. Previous MatchNext Match

      2. 2.In Article 4A(1)(a) (definitions: references to PRA rulebook), for “as...Previous MatchNext Match

      3. 3.In Article 92(3) (own funds requirements), for points (b) and...Previous MatchNext Match

      4. 4.In Article 107(3) (approaches to credit risk), for “third-country investment...Previous MatchNext Match

      5. 5.In Article 144(1)(g) (competent authorities' assessment of an application to...Previous MatchNext Match

      6. 6.In Article 201(1) (eligibility of protection providers under all approaches),...Previous MatchNext Match

      7. 7.(1) Article 223 (Financial Collateral Comprehensive Method) is amended as...Previous MatchNext Match

      8. 8.In Article 283 (permission to use the Internal Model Method),...Previous MatchNext Match

      9. 9.For Article 298 substitute— Article 298 Effects of recognition of...Previous MatchNext Match

      10. 10.In Article 299(2) (items in the trading book), omit point...Previous MatchNext Match

      11. 11.In Article 384(1) (standardised method), in the definition of “EADitotal”—...Previous MatchNext Match

      12. 12.(1) Article 500d (temporary calculation of exposure value of regular-way...Previous MatchNext Match

      13. 13.(1) Annex 2 (types of derivatives) is amended as follows....Previous MatchNext Match

    5. SCHEDULE 5Previous MatchNext Match

      Benchmarks: minor and consequential amendmentsPrevious MatchNext Match

      1. 1.The Benchmarks Regulation is amended as follows. Previous MatchNext Match

      2. 2.(1) Article 3(1) (definitions) is amended as follows. Previous MatchNext Match

      3. 3.In Article 3, after paragraph 1 insert— References in this Regulation to the capability of a benchmark...Previous MatchNext Match

      4. 4.In Article 11 (input data), after paragraph 4 insert— In the case of a critical benchmark, paragraph 4 does...Previous MatchNext Match

      5. 5.In Article A20(5)(b) (review of critical benchmarks), for “determines” substitute...Previous MatchNext Match

      6. 6.(1) Article 20 (critical benchmarks: conditions and other matters) is...Previous MatchNext Match

      7. 7.In Article 21(3) (mandatory administration of a critical benchmark), in...Previous MatchNext Match

      8. 8.After Article 26 insert— CHAPTER 7 COMPLIANCE WITH REQUIREMENTS Article...Previous MatchNext Match

      9. 9.In Article 29 (use of a benchmark), after paragraph 1...Previous MatchNext Match

      10. 10.In Article 36(1) (register of administrators and benchmarks), after point...Previous MatchNext Match

      11. 11.After Article 48 insert— TITLE 6A PROVISION OF INFORMATION AND...Previous MatchNext Match

    6. SCHEDULE 6Previous MatchNext Match

      Gibraltar-based persons carrying on activities in the UKPrevious MatchNext Match

      1. After Schedule 2 to the Financial Services and Markets Act...Previous MatchNext Match

    7. SCHEDULE 7Previous MatchNext Match

      UK-based persons carrying on activities in GibraltarPrevious MatchNext Match

      1. After Schedule 2A to the Financial Services and Markets Act...Previous MatchNext Match

    8. SCHEDULE 8Previous MatchNext Match

      Gibraltar: minor and consequential amendmentsPrevious MatchNext Match

      1. Financial Services and Markets Act 2000 (c. 8)Previous MatchNext Match

        1. 1.The Financial Services and Markets Act 2000 is amended as...Previous MatchNext Match

        2. 2.In section 3A(3)(a) (expressions in which general definition of “regulator”...Previous MatchNext Match

        3. 3.In section 33(1)(a) (withdrawal of authorisation), after “permission” insert “...Previous MatchNext Match

        4. 4.In Part 5 (performance of regulated activities), after section 71I...Previous MatchNext Match

        5. 5.After section 137A insert— The FCA's general rules: Gibraltar (1) The FCA's general rules may not make provision prohibiting...Previous MatchNext Match

        6. 6.After section 137G insert— The PRA's general rules: Gibraltar (1) The PRA's general rules may not make provision prohibiting...Previous MatchNext Match

        7. 7.In section 213 (the compensation scheme), after subsection (9) insert—...Previous MatchNext Match

        8. 8.In section 214 (provisions of the compensation scheme: general), before...Previous MatchNext Match

        9. 9.In section 224 (scheme manager's power to inspect documents held...Previous MatchNext Match

        10. 10.After section 367 insert— Winding-up petitions: Gibraltar-based persons (1) A regulator may not present a petition to the...Previous MatchNext Match

        11. 11.(1) Section 392 (application of sections 393 and 394: warning...Previous MatchNext Match

        12. 12.(1) Section 395 (the FCA's and PRA's procedures) is amended...Previous MatchNext Match

        13. 13.Omit section 409 (Gibraltar). Previous MatchNext Match

        14. 14.In section 417(1) (definitions), at the appropriate places insert— “Gibraltar-based...Previous MatchNext Match

        15. 15.In section 418 (carrying on regulated activities in the United...Previous MatchNext Match

        16. 16.(1) Section 429 (parliamentary control of statutory instruments) is amended...Previous MatchNext Match

        17. 17.In paragraph 24 of Schedule 1ZA (services for which the...Previous MatchNext Match

        18. 18.In paragraph 32 of Schedule 1ZB (services for which the...Previous MatchNext Match

      2. Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (S.I. 2001/3084)Previous MatchNext Match

        1. 19.The Financial Services and Markets Act 2000 (Gibraltar) Order 2001...Previous MatchNext Match

      3. Subsidy Control Act 2022Previous MatchNext Match

        1. 20.(1) The Subsidy Control Act 2022 is amended as follows....Previous MatchNext Match

    9. SCHEDULE 9Previous MatchNext Match

      Collective investment schemes authorised in approved countriesPrevious MatchNext Match

      1. PART 1 Provisions to be inserted in Chapter 5 of Part 17 of the Financial Services and Markets Act 2000Previous MatchNext Match

        1. 1.In Chapter 5 of Part 17 of the Financial Services...Previous MatchNext Match

      2. PART 2 Minor and consequential amendmentsPrevious MatchNext Match

        1. Financial Services and Markets Act 2000 (c. 8)Previous MatchNext Match

          1. 2.The Financial Services and Markets Act 2000 is amended as...Previous MatchNext Match

          2. 3.In section 138I (consultation by the FCA), after subsection (9)...Previous MatchNext Match

          3. 4.(1) Section 165 (regulators' powers to require information) is amended...Previous MatchNext Match

          4. 5.In section 237(2) (Part 17 definitions), in the definition of...Previous MatchNext Match

          5. 6.In section 392 (application of third party rights to notices)—...Previous MatchNext Match

          6. 7.In section 395(13) (meaning of supervisory notice), before paragraph (f)...Previous MatchNext Match

          7. 8.In section 429(2) (regulations subject to affirmative procedure), after “262,”...Previous MatchNext Match

        2. The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773)Previous MatchNext Match

          1. 9.Part 6 of the Alternative Investment Fund Managers Regulations 2013...Previous MatchNext Match

          2. 10.In regulation 57 (marketing of third country AIFs by full-scope...Previous MatchNext Match

          3. 11.In regulation 58(1) (marketing of AIFs managed by small third...Previous MatchNext Match

          4. 12.In regulation 59 (marketing of AIFs managed by other third...Previous MatchNext Match

        3. The Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/325)Previous MatchNext Match

          1. 13.Part 6 of the Collective Investment Schemes (Amendment etc.) (EU...Previous MatchNext Match

          2. 14.In regulation 62(3) (end of temporary recognition)— Previous MatchNext Match

          3. 15.In regulation 67 (power to extend the period for temporary...Previous MatchNext Match

          4. 16.After regulation 67 insert— Applications under section 271A of the...Previous MatchNext Match

    10. SCHEDULE 10Previous MatchNext Match

      Amendments of the Markets in Financial Instruments RegulationPrevious MatchNext Match

      1. IntroductionPrevious MatchNext Match

        1. 1.The Markets in Financial Instruments Regulation is amended as follows....Previous MatchNext Match

      2. ScopePrevious MatchNext Match

        1. 2.In Article 1 (subject matter and scope), after paragraph 4...Previous MatchNext Match

      3. DefinitionsPrevious MatchNext Match

        1. 3.In Article 2(1) (definitions), after point (61) insert— Previous MatchNext Match

      4. Provision of services by third-country firms following equivalence determinationPrevious MatchNext Match

        1. 4.In the heading of Title 8, for “DECISION” substitute “...Previous MatchNext Match

        2. 5.(1) Article 46 (general provision about provision of services etc...Previous MatchNext Match

      5. Equivalence determinationPrevious MatchNext Match

        1. 6.(1) Article 47 (equivalence determination) is amended as follows. Previous MatchNext Match

      6. RequirementsPrevious MatchNext Match

        1. 7.After Article 48 insert— Article 48A Requirements The Treasury may by regulations impose requirements on third-country firms...Previous MatchNext Match

      7. Temporary prohibitions and restrictions and withdrawal of registrationPrevious MatchNext Match

        1. 8.(1) Article 49 (withdrawal of registration) is amended as follows....Previous MatchNext Match

      8. Temporary prohibitions and restrictions and withdrawal of registration: procedurePrevious MatchNext Match

        1. 9.After Article 49 insert— Article 49A Temporary prohibitions and restrictions:...Previous MatchNext Match

      9. FCA directions and rulesPrevious MatchNext Match

        1. 10.In the heading of Title 9, after “DIRECTIONS” insert “...Previous MatchNext Match

        2. 11.In the heading of Article 50B (FCA Directions), at the...Previous MatchNext Match

        3. 12.After that Article insert— Article 50C Other FCA directions A direction by the FCA under Article 46(4) may make...Previous MatchNext Match

        4. 13.The requirements of section 138I of the Financial Services and...Previous MatchNext Match

      10. Transitional provisionsPrevious MatchNext Match

        1. 14.Omit Article 54 (transitional provisions). Previous MatchNext Match

    11. SCHEDULE 11Previous MatchNext Match

      Variation or cancellation of Part 4A permission on initiative of FCA: additional powerPrevious MatchNext Match

      1. 1.The Financial Services and Markets Act 2000 is amended as...Previous MatchNext Match

      2. 2.After section 55J insert— Variation or cancellation on initiative of...Previous MatchNext Match

      3. 3.After Schedule 6 insert— SCHEDULE 6A Variation or cancellation of...Previous MatchNext Match

      4. 4.In section 133 (proceedings before Tribunal: general provision), after subsection...Previous MatchNext Match

      5. 5.In section 392 (application of sections 393 and 394)— Previous MatchNext Match

    12. SCHEDULE 12Previous MatchNext Match

      Forfeiture of money: electronic money institutions and payment institutionsPrevious MatchNext Match

      1. Anti-terrorism, Crime and Security Act 2001 (c. 24)Previous MatchNext Match

        1. 1.Schedule 1 to the Anti-terrorism, Crime and Security Act 2001...Previous MatchNext Match

        2. 2.Part 4B (forfeiture of terrorist money held in bank and...Previous MatchNext Match

        3. 3.In the Part heading, for “bank and building society” substitute...Previous MatchNext Match

        4. 4.(1) Paragraph 10Q (application for account freezing order) is amended...Previous MatchNext Match

        5. 5.In paragraph 10V(1) (restriction on proceedings and remedies), for “bank...Previous MatchNext Match

        6. 6.In paragraph 10W(6)(b) (account forfeiture notice), for “bank or building...Previous MatchNext Match

        7. 7.(1) Paragraph 10Y (lapse of account forfeiture notice) is amended...Previous MatchNext Match

        8. 8.In paragraph 10Z2(7)(a) (forfeiture order), for “bank or building society”...Previous MatchNext Match

        9. 9.In Part 6 (interpretation), in paragraph 19(1), at the appropriate...Previous MatchNext Match

      2. Proceeds of Crime Act 2002 (c. 29)Previous MatchNext Match

        1. 10.Part 5 of the Proceeds of Crime Act 2002 (civil...Previous MatchNext Match

        2. 11.Chapter 3B (forfeiture of money held in bank and building...Previous MatchNext Match

        3. 12.In the Chapter heading, for “bank and building society” substitute...Previous MatchNext Match

        4. 13.In the italic heading before section 303Z1, for “bank and...Previous MatchNext Match

        5. 14.(1) Section 303Z1 (application for account freezing order) is amended...Previous MatchNext Match

        6. 15.In section 303Z2(3) (restrictions on making of application under section...Previous MatchNext Match

        7. 16.In section 303Z6(1), for “bank or building society” substitute “...Previous MatchNext Match

        8. 17.In section 303Z8(4), for “bank or building society” substitute “...Previous MatchNext Match

        9. 18.In section 303Z9(6)(b) (account forfeiture notice: England and Wales and...Previous MatchNext Match

        10. 19.(1) Section 303Z11 (lapse of account forfeiture notice) is amended...Previous MatchNext Match

        11. 20.In section 303Z14(7)(a) (forfeiture order), for “bank or building society”...Previous MatchNext Match

        12. 21.In section 316(1) (general interpretation of Part 5), at the...Previous MatchNext Match

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