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The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018

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  1. Introductory Text

  2. PART 1 Introductory provisions

    1. 1.Citation, commencement, interpretation and extent

    2. 2.Carrying on a regulated claims management activity in Great Britain

  3. PART 2 Amendments to secondary legislation made under the 2000 Act

    1. 3.The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

    2. 4.In article 4 (specified activities: general), after paragraph (2A) insert—...

    3. 5.In article 64 (agreeing to carry on specified kinds of...

    4. 6.In article 72A (information society services), after paragraph (1) insert—...

    5. 7.After Part 3A insert— PART 3B CLAIMS MANAGEMENT ACTIVITIES IN...

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

    7. 9.In article 2 (interpretation: general), in the appropriate place, insert—...

    8. 10.In article 4— (a) in the heading of the article,...

    9. 11.In article 8 (interpretation: solicited and unsolicited real time communications)—...

    10. 12.In paragraph (1) of article 11 (combination of different exemptions)...

    11. 13.In article 12 (communications to overseas recipients)—

    12. 14.In paragraph (1) of article 13 (communications from customers and...

    13. 15.In paragraph (2) of article 14 (follow up non-real time...

    14. 16.In paragraph (1A) of article 15 (introductions) after sub-paragraph (c)...

    15. 17.In article 16 (exempt persons) in paragraph (1) sub-paragraph (c)...

    16. 18.In article 17 (generic promotions)— (a) at the end of...

    17. 19.In article 19 (investment professionals) after paragraph (6) insert —...

    18. 20.In article 20 (communications by journalists) in paragraph (3)—

    19. 21.In article 27 (application of exemptions in Part 6) after...

    20. 22.In article 28 (one off non-real time communications and solicited...

    21. 23.In article 28A (one off unsolicited real time communications) after...

    22. 24.In article 30 (overseas communicators: solicited real time communications) after...

    23. 25.In article 31 (overseas communicators: non-real time communications to previously...

    24. 26.In article 32 (overseas communicators: unsolicited real time communications to...

    25. 27.In article 33 (overseas communicators: unsolicited real time communications to...

    26. 28.Article 36 (nationals of EEA States other than United Kingdom)...

    27. 29.In article 39 (joint enterprises) in paragraph (2) after “controlled...

    28. 30.In article 47 (persons in the business of disseminating information)...

    29. 31.In article 49 (high net worth companies, unincorporated associations etc)...

    30. 32.In article 55A (non-real time communication by members of professions)—...

    31. 33.In article 59 (annual accounts and directors’ report) in paragraph...

    32. 34.In article 61 (sale of goods and supply of services)...

    33. 35.In article 73 (advice centres) in paragraph (2)—

    34. 36.After article 73 (advice centres) insert— PART 6A EXEMPT COMMUNICATIONS:...

    35. 37.After article 73J (inserted by article 36) insert— PART 7...

    36. 38.After paragraph 11 of Schedule 1 (controlled activities) insert— PART...

  4. PART 3 Transitional provisions

    1. CHAPTER 1 Interpretation

      1. 39.Interpretation

    2. CHAPTER 2 Authorisation and regulation of 2006 Act authorised persons

      1. 40.Meaning of “relevant person”

      2. 41.Applications for authorisation made to the Regulator: authorisation by the FCA

      3. 42.Applications for authorisation made to the Regulator: appeal of decision

      4. 43.Proposal by the Regulator to vary authorisation: determination by the FCA

      5. 44.Variation of authorisation by the Regulator: appeal of decision

      6. 45.Proposal by the Regulator to cancel authorisation: determination by the FCA

      7. 46.Cancellation of authorisation by the Regulator: appeal of decision

      8. 47.Proposal by the Regulator to suspend authorisation: determination by the FCA

      9. 48.Suspension of authorisation by the Regulator: appeal of decision

      10. 49.Notice by the Regulator of proposed direction

      11. 50.Compliance with information requirement imposed by the Regulator

      12. 51.Penalties for conduct for which the Regulator has not given notice of proposed penalty

      13. 52.Penalties for conduct for which the Regulator has given notice of proposed penalty

      14. 53.Penalties for conduct for which the Regulator has given penalty decision: appeal of decision

      15. 54.Penalties for conduct for which the Regulator has given penalty decision: penalty due

      16. 55.Investigation and prosecution after 1st April 2019 in relation to conduct before that date

      17. 56.Unprofessional conduct: continuation of investigation commenced by the Regulator

      18. 57.Offences under the 2006 Act: continuation of investigation commenced by the Regulator and institution of criminal proceedings

      19. 58.Continuation of criminal proceedings instituted by the Regulator

      20. 59.Continuation of injunction applications made by the Regulator

      21. 60.Continuation of application made by the Regulator for a search warrant

      22. 61.Retention of records seized by an officer of the Regulator

      23. 62.Decision notices

      24. 63.Conditions and directions

      25. 64.Fees and invoices

    3. CHAPTER 3 Appeals and references

      1. 65.Continuation of appeals commenced before 1st April 2019

      2. 66.Right to appeal after 1st April 2019 against a decision of the Regulator

      3. 67.Continuation of references made by the Regulator to the First-tier Tribunal

    4. CHAPTER 4 Complaints: the Legal Ombudsman and the Financial Ombudsman Service

      1. 68.Interpretation

      2. 69.Complaints made before 1st April 2019 not concluded by that date

      3. 70.Complaints made on or after 1st April 2019 about acts or omissions before that date

      4. 71.Procedure for dealing with relevant complaints

      5. 72.Determination of relevant existing complaints

      6. 73.Determination of relevant new complaints

      7. 74.Funding and charges

      8. 75.Surplus fees

      9. 76.Exemption from liability in damages

      10. 77.Privilege

      11. 78.Record-keeping and reporting requirements relating to relevant complaints

      12. 79.Information and reports

    5. CHAPTER 5 Temporary Permission

      1. 80.Temporary permission

      2. 81.Procedure for notifying the FCA of a desire to be registered for temporary permission

      3. 82.Duration of temporary permission

      4. 83.Application of the 2000 Act to persons with a temporary permission

  5. PART 4 Rules and guidance

    1. 84.Claims management related rules and guidance made by the FCA

    2. 85.Designation by the FCA of the Regulator’s Rules

  6. PART 5 Miscellaneous

    1. 86.Interpretation

    2. 87.Legal professional privilege

    3. 88.Complaints against the Regulator where no determination made before 1st April 2019

    4. 89.Definition of “consumer”

  7. PART 6 Consequential amendments, revocations and saving and supplemental provisions

    1. CHAPTER 1 Amendment of primary legislation

      1. 90.Courts and Legal Services Act 1990

      2. 91.Financial Services and Markets Act 2000

      3. 92.Enterprise Act 2002

      4. 93.Compensation Act 2006

      5. 94.Tribunals, Courts and Enforcement Act 2007

      6. 95.Legal Services Act 2007

      7. 96.Legal Aid, Sentencing and Punishment of Offenders Act 2012

      8. 97.Crime and Courts Act 2013

      9. 98.Financial Services (Banking Reform) Act 2013

    2. CHAPTER 2 Amendment of secondary legislation

      1. 99.Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

      2. 100.Legislative and Regulatory Reform (Regulatory Functions) Order 2007

      3. 101.Legal Services Act 2007 (Disclosure of Restricted Information) Order 2011

      4. 102.Damages-Based Agreements Regulations 2013

      5. 103.Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

      6. 104.Economic Growth (Regulatory Functions) Order 2017

    3. CHAPTER 3 Revocations

      1. 105.Revocations

    4. CHAPTER 4 Saving and supplemental provisions

      1. SECTION 1 General provision

        1. 106.General scope of saving provisions

      2. SECTION 2 Primary legislation

        1. 107.Courts and Legal Services Act 1990

        2. 108.Compensation Act 2006

        3. 109.Legal Services Act 2007

        4. 110.Legal Aid, Sentencing and Punishment of Offenders Act 2012

      3. SECTION 3 Secondary legislation

        1. 111.Compensation (Claims Management Services) Regulations 2006

        2. 112.Damages-Based Agreements Regulations 2013

  8. PART 7 Review

    1. 113.Review

  9. Signature

  10. Explanatory Note

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