The Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013

Qualifying EU provisions: general U.K.

2.—(1) The instruments listed in paragraph (2) are specified qualifying EU provisions for the purposes of sections 1A(6)(d), 1L(2)(b), 39(4)(b), 66(2)(b) and 168(4)(k) of the Act.

(2) The instruments are—

(a) any directly applicable regulation made under the markets in financial instruments directive;

(b) any directly applicable regulation made under the UCITS directive;

[F1 (ba) any directly applicable regulation made under the alternative investment fund managers directive;]

(c) the emission allowance auctioning regulation;

(d) the European market infrastructure regulation;

(e) any directly applicable regulation made under the European market infrastructure regulation;

[F2 (f) the EuSEF Regulation and any directly applicable regulation made under that Regulation;

(g) the EuVECA Regulation and any directly applicable regulation made under that Regulation];

[F3 (h) the CSD regulation and any directly applicable regulation made under that Regulation];

[F4 (i) the ELTIF Regulation and any directly applicable regulation made under that Regulation];

[F5 (j) the market abuse regulation and any directly applicable regulation made under that Regulation.]

(3) The instruments listed in paragraph (4) are also specified qualifying EU provisions for the purposes of sections 1A(6)(d), 1L(2)(b) and 168(4)(k) of the Act.

(4) The instruments are—

(a) the short selling regulation;

(b) any directly applicable regulation made under the short selling regulation;

[F6 (c) any directly applicable regulation made under the recovery and resolution directive.]

[F7 (4A) The SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation are specified qualifying EU provisions for the purposes of sections 1A(6)(d), 1L(2)(b) and 168(4)(k) of the Act.]

(5) The instruments listed in paragraph (6) are specified qualifying EU provisions for the purposes of sections 2A(6)(d) and 66(2A)(b) of the Act.

(6) The instruments are—

(a) any directly applicable regulation made under the markets in financial instruments directive;

(b) the European market infrastructure regulation;

(c) any directly applicable regulation made under the European market infrastructure regulation;

[F8 (d) the CSD regulation and any directly applicable regulation made under that Regulation];

[F9 (e) any directly applicable regulation made under the recovery and resolution directive.]

(7) The instruments listed in paragraph (8) are specified qualifying EU provisions for the purposes of section 293A of the Act.

(8) The instruments are—

(a) any directly applicable regulation made under the markets in financial instruments directive;

(b) the emission allowance auctioning regulation;

(c) the European market infrastructure regulation;

(d) any directly applicable regulation made under the European market infrastructure regulation;

[F10 (e) the CSD regulation and any directly applicable regulation made under that Regulation];

[F11 (f) the market abuse regulation and any directly applicable regulation made under that Regulation];

[F12 (g) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.]

[F13 (9) Directly applicable regulations made under the recovery and resolution directive are specified qualifying EU provisions for the purpose of sections 66(2A) and 192K(1)(c) of the Act.]

[F14 (10) The market abuse regulation and any directly applicable regulation made under that Regulation are specified qualifying EU provisions for the purposes of section 66A(4) of the Act.]

[F15 (11) Directly applicable regulations made under the Solvency 2 Directive are specified qualifying EU provisions for the purposes of sections 2A(6)(d), 39(4)(b), 66B(4)(b) and 168(4)(k) of the Act.]

Textual Amendments

F1 Art. 2(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(3)(a)

F2 Art. 2(2)(f)(g) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(3)(b)

F3 Art. 2(2)(h) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(a)

F4 Art. 2(2)(i) inserted (3.12.2015) by The European Long-term Investment Funds Regulations 2015 (S.I. 2015/1882), regs. 1, 8(3)

F5 Art. 2(2)(j) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(a)

F6 Art. 2(4)(c) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(a)

F7 Art. 2(4A) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(2)(a)

F8 Art. 2(6)(d) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(b)

F9 Art. 2(6)(e) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(b)

F10 Art. 2(8)(e) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(c)

F11 Art. 2(8)(f) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(b)

F12 Art. 2(8)(g) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(2)(b)

F13 Art. 2(9) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(c)

F14 Art. 2(10) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(c)

F15 Art. 2(11) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(2)