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The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001

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  1. Introductory Text

  2. PART I GENERAL AND INTERPRETATION

    1. 1.Citation and commencement

    2. 2.Interpretation: general

    3. 3.Interpretation: communications

    4. 4.Interpretation: real time communications

    5. 5.Interpretation: solicited and unsolicited real time communications

    6. 5A.Interpretation: outgoing electronic commerce communications

    7. 6.Degree of prominence to be given to required indications

    8. 7.Combination of different exemptions

  3. PART II TERRITORIAL SCOPE

    1. 8.Communications to overseas recipients

    2. 9.Solicited real time communications from overseas

    3. 10.Communications from overseas to previously overseas customers

    4. 10A.Incoming electronic commerce communications

  4. PART III OTHER EXEMPTIONS

    1. 11.Follow up non-real time communications and solicited real time communications

    2. 12.Introductions

    3. 13.Generic promotions

    4. 14.Investment professionals

    5. 15.One off non-real time communications and solicited real time communications

    6. 15A.One off unsolicited real time communications

    7. 16.Communications required or authorised by enactments

    8. 17.Persons in the business of placing promotional material

    9. 18.Existing participants in an unregulated scheme

    10. 19.Group companies

    11. 20.Persons in the business of disseminating information

    12. 21.... High net worth individuals

    13. 22.High net worth companies, unincorporated associations etc.

    14. 23.Sophisticated investors

    15. 23A.Self-certified sophisticated investors

    16. 24.Associations of high net worth or sophisticated investors

    17. 25.Settlors, trustees and personal representatives

    18. 26.Beneficiaries of trust, will or intestacy

    19. 27.Remedy following report by Parliamentary Commissioner for Administration

    20. 28.Persons placing promotional material in particular publications

    21. 29.Open-ended investment companies authorised in Northern Ireland

    22. 30.EEA management companies

    23. 31.Communications required by the PRIIPs regulation: key information document

  5. Signature

    1. SCHEDULE

      STATEMENTS FOR ... HIGH NET WORTH INDIVIDUALS AND SELF-CERTIFIED SOPHISTICATED INVESTORS

      1. PART I STATEMENT FOR ... HIGH NET WORTH INDIVIDUALS

        1. 1.The statement to be completed and signed for the purposes...

      2. PART II STATEMENT FOR SELF-CERTIFIED SOPHISTICATED INVESTORS

        1. 2.The statement to be completed and signed for the purposes...

  7. Explanatory Note

Yn ôl i’r brig

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