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The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

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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. 8A.Interpretation: outgoing electronic commerce communications

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

    7. 10.Application to qualifying contracts of insurance

    8. 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. 17A.Communications caused to be made or directed by unauthorised persons

    8. 18.Mere conduits

    9. 18A.Electronic commerce communications: mere conduits, caching and hosting

    10. 19.Investment professionals

    11. 20.Communications by journalists

    12. 20A.Promotion broadcast by company director etc.

    13. 20B.Incoming electronic commerce communications

  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. 28A.One off unsolicited real time communications

    4. 28B.Real time communications: introductions in connection with qualifying credit

    5. 29.Communications required or authorised by enactments

    6. 30.Overseas communicators: solicited real time communications

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

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

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

    10. 34.Governments, central banks etc.

    11. 35.Industrial and provident societies

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

    13. 37.Financial markets

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

    15. 39.Joint enterprises

    16. 40.Participants in certain recognised collective investment schemes

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

    18. 42.Bearer instruments: promotions to existing holders

    19. 43.Members and creditors of certain bodies corporate

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

    21. 45.Group companies

    22. 46.Qualifying credit to bodies corporate

    23. 47.Persons in the business of disseminating information

    24. 48.Certified high net worth individuals

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

    26. 50.Sophisticated investors

    27. 50A.Self-certified sophisticated investors

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

    29. 52.Common interest group of a company

    30. 53.Settlors, trustees and personal representatives

    31. 54.Beneficiaries of trust, will or intestacy

    32. 55.Communications by members of professions

    33. 55A.Non-real time communication by members of professions

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

    35. 57.Persons placing promotional material in particular publications

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

    37. 59.Annual accounts and directors' report

    38. 60.Participation in employee share schemes

    39. 61.Sale of goods and supply of services

    40. 62.Sale of body corporate

    41. 63.Takeovers of relevant unlisted companies: interpretation

    42. 64.Takeovers of relevant unlisted companies

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

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

    45. 67.Promotions required or permitted by market rules

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

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

    48. 70.Promotions included in listing particulars etc.

    49. 71.Material relating to prospectus for public offer of unlisted securities

    50. 72.Pension products offered by employers

    51. 73.Advice centres

    52. 74.Revocation

  8. Signature

  9. 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 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

    5. SCHEDULE 5

      Statements for certified high net worth individuals and self-certified sophisticated investors

      1. Part I Statement for certified high net worth individuals

      2. Part II Statement for self-certified sophisticated investors

    6. SCHEDULE 6

      Revocation

  10. Explanatory Note

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