The Financial Services and Markets Act 2000 (Qualifying Provisions) Order 2013 No. 419

[F1 Qualifying provisions]: fees U.K.

6.—(1) The instruments listed in paragraph (2) are specified [F2 qualifying provisions] for the purposes of paragraph 23(2) of Schedule 1ZA to the Act [F3 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019;]

(2) The instruments are—

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

[F4 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;]

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

[F5 (ba) any directly applicable regulation made under the alternative investment fund managers directive;]

(c) the emission allowance auctioning regulation;

[F6 (ca) the UK auctioning regulations;]

(d) the European market infrastructure regulation;

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

(f) the short selling regulation;

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

[F7 (h) the EuSEF Regulation and any directly applicable regulation made under that Regulation;

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

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

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

F10 (l) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

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

[F13 (o) the PRIIPs regulation and any directly applicable regulation made under that Regulation[F14 ;]]

[F15 (p) the EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016];

[F16 (q) any directly applicable regulation made under the insurance distribution directive];

[F17 (r) the MMF Regulation and any directly applicable regulation or decision made under that Regulation];

[F18 (s) the EU Securitisation Regulation 2017 and any directly applicable regulation made under that Regulation];

[F19 [F20 (t) the EU Prospectus Regulation and any directly applicable measure made under that Regulation.]]

(3) The instruments listed in paragraph (4) are specified [F21 qualifying provisions] for the purposes of paragraph 31(2) of Schedule 1ZB to the Act [F22 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019].

(4) The instruments are—

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

[F23 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;]

(b) the European market infrastructure regulation;

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

[F24 (d) the CSD regulation and any directly applicable regulation made under that Regulation];

[F25 (e) any directly applicable regulation made under the recovery and resolution directive];

[F26 (f) any directly applicable regulation made under the Solvency 2 Directive];

[F27 (g) the EU Securitisation Regulation 2017 and any directly applicable regulation made under that Regulation.]

(5) The instruments listed in paragraph (6) are specified [F28 qualifying provisions] for the purposes paragraph 36(2)(b) of Schedule 17A to the Act [F29 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019].

(6) The instruments are—

(a) the European market infrastructure regulation;

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

[F30 (c) the CSD regulation and any directly applicable regulation made under that Regulation];

[F31 (d) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.]

Textual Amendments

F1 Words in art. 6 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1)

F2 Words in art. 6(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1)

F3 Words in art. 6(1) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(a); 2020 c. 1, Sch. 5 para. 1(1)

F4 Art. 6(2)(aa) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 6(6)(a) (with reg. 7)

F5 Art. 6(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(6)(a)

F6 Art. 6(2)(ca) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(7)

F7 Art. 6(2)(h)(i) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(6)(b)

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

F9 Art. 6(2)(k) 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(6)(a)

F10 Art. 6(2)(l) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(6)

F11 Art. 6(2)(m) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(5)

F12 Art. 6(2)(n) 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(6)(a)

F13 Art. 6(2)(o) inserted (1.1.2018) by The Packaged Retail and Insurance-based Investment Products Regulations 2017 (S.I. 2017/1127), reg. 1, Sch. 2 para. 7(6)

F14 Art. 6(2)(o): semi-colon substituted for full stop (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(7)(a)

F15 Art. 6(2)(p) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(7)(b)

F16 Art. 6(2)(q) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(5)

F17 Art. 6(2)(r) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(6)

F18 Art. 6(2)(s) inserted (1.1.2019) by The Securitisation Regulations 2018 (S.I. 2018/1288), reg. 1, Sch. 2 para. 4(7)

F19 Art. 6(2)(t) inserted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(5)(a) (with reg. 40)

F20 Art. 6(2)(t) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 36 (with regs. 48-50)

F21 Words in art. 6(3) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1)

F22 Words in art. 6(3) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(b); 2020 c. 1, Sch. 5 para. 1(1)

F23 Art. 6(4)(aa) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 6(6)(b) (with reg. 7)

F24 Art. 6(4)(d) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(6)(b)

F25 Art. 6(4)(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(6)(b)

F26 Art. 6(4)(f) 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(5)

F27 Art. 6(4)(g) inserted (1.1.2019) by The Securitisation Regulations 2018 (S.I. 2018/1288), reg. 1, Sch. 2 para. 4(8)

F28 Words in art. 6(5) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1)

F29 Words in art. 6(5) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(c); 2020 c. 1, Sch. 5 para. 1(1)

F30 Art. 6(6)(c) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(6)(c)

F31 Art. 6(6)(d) 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(6)(b)