http://www.legislation.gov.uk/uksi/2013/440/contents/made

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

King's Printer of Acts of Parliament

2018-03-27

FINANCIAL SERVICES AND MARKETS

This Order is made under the Financial Services Act 2012 (c.21) (“the 2012 Act”) and makes transitional provision in relation to the coming into force of various provisions of that Act which amend the Financial Services and Markets Act 2000 (c.8) (“FSMA 2000”).

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 4(5)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(2)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(2)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(a)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(2A)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(b)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(3)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(c)(i)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(3)(a)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(c)(ii)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(5)(a)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(d)(i)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

art. 7(5)(b)

The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) (No. 3) Order 2013

art. 11(3)(d)(ii)

art. 1

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

PART 1Introductory

1Citation, commencement and interpretation

PART 2Permission to carry on regulated activities

2Permission

3Requirements

4Prohibitions, restrictions and assets requirements

5Applications made before the commencement date to vary or cancel a requirement

6Variation of permission at request of authorised person

7Variation or cancellation of requirement in force before the commencement date

8Variation or cancellation on initiative of regulator

9Exercise of power in support of overseas regulator

10Determination of applications

11Notification of ESMA

12Notification of EBA

PART 3Performance of regulated activities

13Approval for particular arrangements

PART 4Lloyd’s (Part 19 of FSMA)

14The Society: authorisation and permission

PART 5

CHAPTER 1EEA Passport rights (Schedule 3)

15Firms qualifying for authorisation

16Ending of authorisation of an EEA firm

17EEA firms seeking to establish a branch

18EEA firms seeking to provide services

19UK firm seeking to establish a branch

20UK firm seeking to provide services

CHAPTER 2Treaty rights (Schedule 4)

21Treaty firms qualifying for authorisation

22Ending of authorisation of a Treaty firm

23Exercise of Treaty rights

2013 No. 440

Financial Services And Markets

The Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013

Made27th February 2013

Laid before Parliament1st March 2013

Coming into force1st April 2013

The Treasury make the following Order in exercise of the powers conferred by sections 115(2) and 119(3), (4) and (5) of the Financial Services Act 20121.