Chwilio Deddfwriaeth

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

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  1. Introductory Text


    1. 1. Citation

    2. 2. Commencement

    3. 3. Interpretation


    1. Chapter I General

      1. 4. Specified activities: general

    2. Chapter II Accepting Deposits

      1. The activity

        1. 5. Accepting deposits

      2. Exclusions

        1. 6. Sums paid by certain persons

        2. 7. Sums received by solicitors etc.

        3. 8. Sums received by persons authorised to deal etc.

        4. 9. Sums received in consideration for the issue of debt securities

        5. 9A. Sums received in exchange for electronic money

        6. 9AA.Information society services


      1. The activity

        1. 9B. Issuing electronic money

      2. Exclusions

        1. 9C. Persons certified as small issuers etc.

        2. 9D. Applications for certificates

        3. 9E. Revocation of certificate on Authority’s own initiative

        4. 9F. Revocation of certificate on request

        5. 9G. Obtaining information from certified persons etc.

      3. Supplemental

        1. 9H. Rules prohibiting the issue of electronic money at a discount

        2. 9I. False claims to be a certified person

        3. 9J. Exclusion of electronic money from the compensation scheme

        4. 9K. Record of certified persons

    4. Chapter III Insurance

      1. The activities

        1. 10. Effecting and carrying out contracts of insurance

      2. Exclusions

        1. 11. Community co-insurers

        2. 12. Breakdown insurance

        3. 12A.Information society services

      3. Supplemental

        1. 13. Application of sections 327 and 332 of the Act to insurance market activities

    5. Chapter IV Dealing in Investments as Principal

      1. The activity

        1. 14. Dealing in investments as principal

      2. Exclusions

        1. 15. Absence of holding out etc.

        2. 16. Dealing in contractually based investments

        3. 17. Acceptance of instruments creating or acknowledging indebtedness

        4. 18. Issue by a company of its own shares etc.

        5. 18A.Dealing by a company in its own shares

        6. 19. Risk management

        7. 20. Other exclusions

    6. Chapter V Dealing in Investments as Agent

      1. The activity

        1. 21. Dealing in investments as agent

      2. Exclusions

        1. 22. Deals with or through authorised persons

        2. 23. Risk management

        3. 24. Other exclusions

    7. Chapter VI Arranging Deals in Investments

      1. The activities

        1. 25. Arranging deals in investments

        2. 25A.Arranging regulated mortgage contracts

      2. Exclusions

        1. 26. Arrangements not causing a deal

        2. 27. Enabling parties to communicate

        3. 28. Arranging transactions to which the arranger is a party

        4. 28A.Arranging contracts to which the arranger is a party

        5. 29. Arranging deals with or through authorised persons

        6. 29A.Arrangements made in the course of administration by authorised person

        7. 30. Arranging transactions in connection with lending on the security of insurance policies

        8. 31. Arranging the acceptance of debentures in connection with loans

        9. 32. Provision of finance

        10. 33. Introducing

        11. 33A.Introducing to authorised persons etc.

        12. 34. Arrangements for the issue of shares etc.

        13. 35. International securities self-regulating organisations

        14. 36. Other exclusions

    8. Chapter VII Managing Investments

      1. The activity

        1. 37. Managing investments

      2. Exclusions

        1. 38. Attorneys

        2. 39. Other exclusions

    9. CHAPTER VIIA Assisting in the Administration and Performance of a Contract of Insurance

      1. The activity

        1. 39A.Assisting in the administration and performance of a contract of insurance

      2. Exclusions

        1. 39B.Claims management on behalf of an insurer etc.

        2. 39C.Other exclusions

    10. Chapter VIII Safeguarding and Administering Investments

      1. The activity

        1. 40. Safeguarding and administering investments

      2. Exclusions

        1. 41. Acceptance of responsibility by third party

        2. 42. Introduction to qualifying custodians

        3. 43. Activities not constituting administration

        4. 44. Other exclusions

    11. Chapter IX Sending Dematerialised Instructions

      1. The activities

        1. 45. Sending dematerialised instructions

      2. Exclusions

        1. 46. Instructions on behalf of participating issuers

        2. 47. Instructions on behalf of settlement banks

        3. 48. Instructions in connection with takeover offers

        4. 49. Instructions in the course of providing a network

        5. 50. Other exclusions

    12. Chapter X Collective Investment Schemes

      1. The activities

        1. 51. Establishing etc. a collective investment scheme

      2. Exclusion

        1. 51A.Information society services

    13. Chapter XI Stakeholder Pension Schemes

      1. The activities

        1. 52. Establishing etc. a stakeholder pension scheme

      2. Exclusion

        1. 52A.Information society services

    14. CHAPTER XIA Providing Basic Advice On Stakeholder Products

      1. The activity

        1. 52B.Providing basic advice on stakeholder products

    15. Chapter XII Advising on Investments

      1. The activity

        1. 53. Advising on investments

        2. 53A.Advising on regulated mortgage contracts

      2. Exclusions

        1. 54. Advice given in newspapers etc.

        2. 54A.Advice given in the course of administration by authorised person

        3. 55. Other exclusions

    16. Chapter XIII Lloyd’s

      1. The activities

        1. 56. Advice on syndicate participation at Lloyd’s

        2. 57. Managing the underwriting capacity of a Lloyd’s syndicate

        3. 58. Arranging deals in contracts of insurance written at Lloyd’s

      2. Exclusion

        1. 58A.Information society services

    17. Chapter XIV Funeral Plan Contracts

      1. The activity

        1. 59. Funeral plan contracts

      2. Exclusions

        1. 60. Plans covered by insurance or trust arrangements

        2. 60A.Information society services

    18. Chapter XV Regulated Mortgage Contracts

      1. The activities

        1. 61. Regulated mortgage contracts

      2. Exclusions

        1. 62. Arranging administration by authorised person

        2. 63. Administration pursuant to agreement with authorised person

        3. 63A.Information society services

    19. Chapter XVI Agreeing to Carry on Activities

      1. The activity

        1. 64. Agreeing to carry on specified kinds of activity

      2. Exclusions

        1. 65.Overseas persons etc

    20. Chapter XVII Exclusions Applying to Several Specified Kinds of Activity

      1. 66. Trustees, nominees and personal representatives

      2. 67. Activities carried on in the course of a profession or non-investment business

      3. 68. Activities carried on in connection with the sale of goods or supply of services

      4. 69. Groups and joint enterprises

      5. 70. Activities carried on in connection with the sale of a body corporate

      6. 71. Activities carried on in connection with employee share schemes

      7. 72. Overseas persons

      8. 72A.Information society services

      9. 72B.Activities carried on by a provider of relevant goods or services

      10. 72C.Provision of information on an incidental basis

      11. 72D.Large risks contracts where risk situated outside the EEA


    1. 73. Investments: general

    2. 74. Deposits

    3. 74A. Electronic money

    4. 75. Contracts of insurance

    5. 76. Shares etc.

    6. 77. Instruments creating or acknowledging indebtedness

    7. 78. Government and public securities

    8. 79. Instruments giving entitlements to investments

    9. 80. Certificates representing certain securities

    10. 81. Units in a collective investment scheme

    11. 82. Rights under a stakeholder pension scheme

    12. 83. Options

    13. 84. Futures

    14. 85. Contracts for differences etc.

    15. 86. Lloyd’s syndicate capacity and syndicate membership

    16. 87. Funeral plan contracts

    17. 88. Regulated mortgage contracts

    18. 89. Rights to or interests in investments


    1. Regulated mortgage contracts: consequential provisions

      1. 90. Consequential amendments of the Consumer Credit Act 1974

      2. 91. Consequential amendments of subordinate legislation under the Consumer Credit Act 1974


    1. 92.Interpretation

    2. 93.Duty to maintain a record of unauthorised persons carrying on insurance mediation activities

    3. 94.Members of designated professional bodies

    4. 95.Exclusion from record where not fit and proper to carry on insurance mediation activities

    5. 96.Exclusion from the record where Authority has exercised its powers under Part XX of the Act


    1. 97.Disapplication of section 49(2) of the Act

  8. Signature

    1. SCHEDULE 1


    2. SCHEDULE 2


    3. SCHEDULE 3


    4. SCHEDULE 4


      1. Part 1 Article 1.2

      2. Part II Article 2.3

      3. Part III Article 2.4

  9. Explanatory Note

Yn ôl i’r brig


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