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The Financial Services and Markets Act 2000 (Exemption) Order 2001

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PART IIIPERSONS EXEMPT IN RESPECT OF ANY REGULATED ACTIVITY MENTIONED IN ARTICLE 5(1)

26.  The National Debt Commissioners.

27.  Treasury Taskforce.

28.  The International Development Association.

29.  The English Tourist Board.

30.  The Wales Tourist Board.

31.  The Scottish Tourist Board.

32.  The Northern Ireland Tourist Board.

33.  Scottish Enterprise.

34.  The Multilateral Investment Guarantee Agency.

35.  A person acting as an official receiver within the meaning of section 399 of the Insolvency Act 1986(1) or article 2 of the Insolvency (Northern Ireland) Order 1989(2).

36.—(1) A person who provides the trading facilities which constitute a regulated market, in so far as he carries on a regulated activity in connection with, or for the purposes of, the provision of those trading facilities.

(2) In sub-paragraph (1), “regulated market” means a market which—

(a)appears on the list drawn up by an EEA State other than the United Kingdom pursuant to Article 16 of the investment services directive; and

(b)operates without any requirement that a person dealing on the market should have a physical presence in the EEA State from which the trading facilities are provided or on any trading floor that the market may have.

37.—(1) An Operator, in so far as he carries on any regulated activity for the purposes of the performance of his functions as an Operator under the Uncertificated Securities Regulations 1995(3), other than a regulated activity in respect of which a recognised clearing house is exempt from the general prohibition by virtue of section 285(3) of the Act.

(2) In sub-paragraph (1), “Operator” means a person approved as such by the Treasury under the Uncertificated Securities Regulations 1995.

38.  A person acting as a judicial factor.

39.  A person acting as an insolvency practitioner within the meaning of section 388 of the Insolvency Act 1986(4).

(2)

S.I. 1989/2405 (N.I. 19); to which there are amendments not relevant to this Order.

(3)

S.I. 1995/3272; amended by S.I. 1996/2827, S.I. 1997/251, S.I. 1999/506, S.I. 2000/311 and S.I. 2000/1682.

(4)

1986 c. 45. Amended by the Bankruptcy (Scotland) Act 1993 (c. 6) section 11 and by S.I. 1994/2421.

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