- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (30/01/2024)
- Gwreiddiol (Fel y'i Deddfwyd)
Point in time view as at 30/01/2024.
Financial Services and Markets Act 2000, Cross Heading: Interpretation is up to date with all changes known to be in force on or before 04 June 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Textual Amendments
F1Pt. 9C inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 2 para. 1; S.I. 2021/671, reg. 4(b)
(1)In this Part, “FCA investment firm” means an investment firm that—
(a)is an authorised person within the meaning of section 31(1)(a),
(b)is not for the time being designated by the PRA under article 3 of the Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013 (S.I. 2013/556), and
(c)has its registered office or, if it has no registered office, its head office in the United Kingdom.
(2)But the following are not FCA investment firms—
(a)a person excluded from the definition of “investment firm” in Article 3(1) of the Financial Services and Markets 2000 (Regulated Activities) Order 2001 (S.I. 2001/544) by paragraph (a) or (b) of that definition;
(b)an investment firm which has a Part 4A permission to carry on regulated activities as an exempt investment firm within the meaning of regulation 8 of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701).
(1)In this Part—
“authorised parent undertaking” means a parent undertaking that—
is incorporated in the United Kingdom or has its principal place of business in the United Kingdom, and
is an authorised person;
“on a consolidated basis” means as if all members of an FCA investment firm's group are a single FCA investment firm;
“Directive 2013/36/EU UK law” means the law of the United Kingdom which was relied on immediately before [F21 January 2022] to implement the capital requirements directive and its implementing measures as it has effect—
on IP completion day, in the case of rules made by the FCA or the PRA under this Act, and
as amended from time to time, in all other cases;
“EU tertiary legislation” has the meaning given in section 20 of the European Union (Withdrawal) Act 2018;
“governance arrangements” includes organisational structure, lines of responsibility and internal control mechanisms;
“integrity”, in relation to the UK financial system, has the meaning given in section 1D;
“investment firm” has the meaning given in Article 4(1)(2) of the capital requirements regulation;
“non-authorised parent undertaking” means a parent undertaking that—
is incorporated in the United Kingdom or has its principal place of business in the United Kingdom, and
is not an authorised person.
(2)The Treasury may by regulations make provision about the meaning of the following terms for the purposes of this Part—
“on a consolidated basis”;
“group”;
“parent undertaking”;
“subsidiary undertaking”.
(3)Regulations under subsection (2) may, among other things, amend, repeal or otherwise modify provisions of this Act.
(4)In this Part, references to instruments made under the capital requirements regulation include EU tertiary legislation made under that regulation which forms part of [F3assimilated] law.]
Textual Amendments
F2Words in s. 143B(1) substituted (1.1.2022) by The Financial Services and Markets Act 2000 (Consequential Amendments of References to Rules) Regulations 2021 (S.I. 2021/1388), regs. 1(2), 2(2)
F3Word in s. 143B(4) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 44(2)(c)
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