The Financial Services and Markets Act 2000 (Commencement No. 3) Order 2001

2. Introductory Text

1. Citation

3. 2. Appointed day

4. Signature

5. 1. SCHEDULE

      Provisions coming into force on 18th June 2001

      1. Section 1 (the Financial Services Authority)

      2. Sections 2 to 11 (the Authority’s general duties and regulatory...

      3. Sections 31(1)(b) (EEA firms) and 37 (exercise of EEA rights...

      4. Section 51 (applications under Part IV), for the purpose of...

      5. Section 59 (approval for particular arrangements), for the purpose of...

      6. Section 60 (applications for approval), for the purpose of giving...

      7. Sections 64 and 65 (conduct: statements and codes)

      8. Sections 69 and 70 (penalties: statement of policy)

      9. Section 72 (official listing: the competent authority)

      10. Section 73 (general duty of the competent authority)

      11. Subsections (4) and (5) of section 74 (the official list)...

      12. Subsection (1) of section 75 (applications for listing), for the...

      13. Subsections (1), (2) and (4) of section 77 (discontinuation and...

      14. Section 79 (listing particulars and other documents), so far as...

      15. Subsections (1) and (5) of section 81 (supplementary listing particulars),...

      16. Subsections (1), (5) and (7) of section 82 (exemptions from...

      17. Section 84 (prospectuses)

      18. Section 87 (approval of prospectuses where no application for listing),...

      19. Subsections (1) to (3) of section 88, and subsection (1)...

      20. Sections 93 and 94 (penalties: statement of policy)

      21. Section 96 (obligations of issuers of listed securities)

      22. Subsection (1) of section 98 (advertisements etc. in connection with...

      23. Section 99 (fees)

      24. Section 100 (penalties)

      25. Section 101 (listing rules: general provisions)

      26. Section 102 (exemption from liability in damages)

      27. Sections 119 to 121 (market abuse: the code)

      28. Sections 124 and 125 (penalties: statement of policy)

      29. Section 136 (funding of the legal assistance scheme), for the...

      30. Sections 138 to 141 (powers to make rules)

      31. Section 143 (endorsement of codes etc.), for the purpose of...

      32. Section 144 (price stabilising rules), so far as not already...

      33. Section 145 (financial promotion rules), so far as not already...

      34. Section 146 (money laundering rules)

      35. Section 147 (control of information rules)

      36. Section 148 (modification or waiver of rules), for the purpose...

      37. Section 149 (contravention of rules: evidential provisions)

      38. Section 150 (actions for damages), for the purpose of making...

      39. Sections 152 to 156 (rules: procedural provisions)

      40. Sections 157 and 158 (guidance)

      41. Sections 159 to 164 (competition scrutiny)

      42. Section 169 (investigations etc. in support of overseas regulator), for...

      43. Section 182 (acquiring or increasing control: notification), for the purpose...

      44. Sections 210 and 211 (penalties: statements of policy)

      45. Section 212 (the compensation scheme manager)

      46. Sections 213 to 217 (the compensation scheme), so far as...

      47. Section 218 (annual report of the scheme manager)

      48. Section 222 (statutory immunity)

      49. Section 223 (management expenses), for the purpose of fixing an...

      50. Section 225 (the ombudsman scheme and the scheme operator)

      51. Sections 226 (compulsory jurisdiction), 227 (voluntary jurisdiction) and 229 (awards),...

      52. Section 230 (costs)

      53. Section 234 (funding)

      54. Section 238 (collective investment schemes: restrictions on promotion), for the...

      55. Section 239 (single property schemes), so far as not already...

      56. Section 242 (applications for authorisation of unit trust schemes), for...

      57. Section 247 (trust scheme rules)

      58. Section 248 (scheme particulars rules)

      59. Section 266 (disapplication of rules)

      60. Section 274 (applications for recognition of individual schemes), for the...

      61. Section 278 (schemes recognised under sections 270 and 272: rules...

      62. Subsection (1) of section 283 (facilities and information in UK)...

      63. Section 287 (application by an investment exchange), for the purpose...

      64. Section 288 (application by a clearing house), for the purpose...

      65. Sections 293 and 295 (notification requirements), for the purpose of...

      66. Section 294 (application by a recognised body for modification of...

      67. Section 299 (complaints about recognised bodies)

      68. Section 316 (direction in relation to members of Lloyd's), for...

      69. Section 317 (the core provisions)

      70. Section 318 (exercise of powers through the Council), for the...

      71. Section 319 (consultation)

      72. Section 322 (rules applicable to former underwriting members), for the...

      73. Section 323 (transfer schemes of business done at Lloyd's)

      74. Section 324 (interpretation of Part XIX)

      75. Section 332 (rules in relation to persons to whom the...

      76. Section 340 (auditors and actuaries: appointment)

      77. Section 348 (restrictions on disclosure of confidential information)

      78. Section 349 (exceptions from section 348), so far as not...

      79. Subsections (3) and (7) of section 350 (disclosure of information...

      80. Section 351 (competition information), so far as not already in...

      81. Section 352 (offences), for the purpose of any contravention of...

      82. Section 380 (injunctions)

      83. Section 382 (restitution orders)

      84. Section 395 (the Authority’s procedures)

      85. Section 396 (statements under section 395: consultation)

      86. Sections 398 and 399 (misleading the Authority or the Director...

      87. Section 400 (offences by bodies corporate etc.)

      88. Section 401 (institution of proceedings for offences)

      89. Section 403 (jurisdiction and procedure in respect of offences)

      90. Section 410 (international obligations)

      91. Section 414 (service of notices), so far as not already...

      92. Section 415 (jurisdiction in civil proceedings)

      93. Schedule 1 (the Financial Services Authority), except for paragraphs 7...

      94. Schedule 3 (EEA passport rights), for the purpose of making...

      95. Schedule 7 (the Authority as competent authority for Part VI)...

      96. Schedule 8 (transfer of functions under Part VI)

      97. Schedule 9 (non-listing prospectuses), so far as not already in...

      98. Schedule 14 (role of the Competition Commission)

      99. Schedule 17 (the ombudsman scheme)

      100. Schedule 19 (competition information), so far as not already in...

6. Explanatory Note

7. Note as to Earlier Commencement Orders