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

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  1. Introductory Text

  2. PART I CITATION, COMMENCEMENT AND INTERPRETATION

    1. 1.Citation and commencement

    2. 2.Interpretation: general

    3. 3.Interpretation: unlisted companies

  3. PART II CONTROLLED ACTIVITIES AND CONTROLLED INVESTMENTS

    1. 4.Definition of controlled activities and controlled investments

  4. PART III EXEMPTIONS: INTERPRETATION AND APPLICATION

    1. 5.Interpretation: financial promotion restriction

    2. 6.Interpretation: communications

    3. 7.Interpretation: real time communications

    4. 8.Interpretation: solicited and unsolicited real time communications

    5. 9.Degree of prominence to be given to required indications

    6. 10.Application to qualifying contracts of insurance

    7. 11.Combination of different exemptions

  5. PART IV EXEMPT COMMUNICATIONS: ALL CONTROLLED ACTIVITIES

    1. 12.Communications to overseas recipients

    2. 13.Communications from customers and potential customers

    3. 14.Follow up non-real time communications and solicited real time communications

    4. 15.Introductions

    5. 16.Exempt persons

    6. 17.Generic promotions

    7. 18.Mere conduits

    8. 19.Investment professionals

    9. 20.Communications by journalists

  6. PART V EXEMPT COMMUNICATIONS: DEPOSITS AND INSURANCE

    1. 21.Interpretation: relevant insurance activity

    2. 22.Deposits: non-real time communications

    3. 23.Deposits: real time communications

    4. 24.Relevant insurance activity: non-real time communications

    5. 25.Relevant insurance activity: non-real time communications: reinsurance and large risks

    6. 26.Relevant insurance activity: real time communication

  7. PART VI EXEMPT COMMUNICATIONS: CERTAIN CONTROLLED ACTIVITIES

    1. 27.Application of exemptions in this Part

    2. 28.One off non-real time communications and solicited real time communications

    3. 29.Communications required or authorised by enactments

    4. 30.Overseas communicators: solicited real time communications

    5. 31.Overseas communicators: non-real time communications to previously overseas customers

    6. 32.Overseas communicators: unsolicited real time communications to previously overseas customers

    7. 33.Overseas communicators: unsolicited real time communications to knowledgeable customers

    8. 34.Governments, central banks etc.

    9. 35.Industrial and provident societies

    10. 36.Nationals of EEA States other than United Kingdom

    11. 37.Financial markets

    12. 38.Persons in the business of placing promotional material

    13. 39.Joint enterprises

    14. 40.Participants in certain recognised collective investment schemes

    15. 41.Bearer instruments: promotions required or permitted by market rules

    16. 42.Bearer instruments: promotions to existing holders

    17. 43.Members and creditors of certain bodies corporate

    18. 44.Members and creditors of open-ended investment companies

    19. 45.Group companies

    20. 46.Qualifying credit to bodies corporate

    21. 47.Persons in the business of disseminating information

    22. 48.Certified high net worth individuals

    23. 49.High net worth companies, unincorporated associations etc.

    24. 50.Sophisticated investors

    25. 51.Associations of high net worth or sophisticated investors

    26. 52.Common interest group of a company

    27. 53.Settlors, trustees and personal representatives

    28. 54.Beneficiaries of trust, will or intestacy

    29. 55.Communications by members of professions

    30. 56.Remedy following report by Parliamentary Commissioner for Administration

    31. 57.Persons placing promotional material in particular publications

    32. 58.Acquisition of interest in premises run by management companies

    33. 59.Annual accounts and directors' report

    34. 60.Participation in employee share schemes

    35. 61.Sale of goods and supply of services

    36. 62.Sale of body corporate

    37. 63.Takeovers of relevant unlisted companies: interpretation

    38. 64.Takeovers of relevant unlisted companies

    39. 65.Takeovers of relevant unlisted companies: warrants etc.

    40. 66.Takeovers of relevant unlisted companies: application forms

    41. 67.Promotions required or permitted by market rules

    42. 68.Promotions in connection with admission to certain EEA markets

    43. 69.Promotions of securities already admitted to certain markets

    44. 70.Promotions in connection with listing applications

    45. 71.Promotions included in listing particulars etc.

    46. 72.Promotions included in prospectus for public offer of unlisted securities

    47. 73.Material relating to prospectus for public offer of unlisted securities

  8. PART VII TRANSITIONAL PROVISION

    1. 74.Approval of communication prior to Order coming into force

  9. Signature

  10. SCHEDULES

    1. SCHEDULE 1

      CONTROLLED ACTIVITIES AND CONTROLLED INVESTMENTS

      1. Part I Controlled activities

      2. Part II Controlled investments

    2. SCHEDULE 2

      COUNTRIES AND TERRITORIES

    3. SCHEDULE 3

      MARKETS AND EXCHANGES

      1. Part I Criteria for relevant EEA markets

      2. Part II Certain investment exchanges operating relevant EEA markets

      3. Part III Certain non-EEA investment exchanges operating relevant EEA markets

      4. Part IV Other relevant markets

    4. SCHEDULE 4

      TAKEOVERS OF RELEVANT UNLISTED COMPANIES

      1. Part I Requirements relating to the offer

      2. Part II Accompanying material

      3. Part III Additional material available for inspection

  11. Explanatory Note

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