[X1 ANNEX II U.K. Types of derivatives

Editorial Information

X1 Substituted by Corrigendum to Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).

1. Interest-rate contracts: U.K.

(a)

single-currency interest rate swaps;

(b)

basis-swaps;

(c)

forward rate agreements;

(d)

interest-rate futures;

(e)

[F1 interest-rate options;]

(f)

other contracts of similar nature.

Textual Amendments

F1 Annex 2 point 1(e) substituted (1.1.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 4 para. 13(2); S.I. 2021/671, reg. 5(c)

2. Foreign-exchange contracts and contracts concerning gold: U.K.

(a)

cross-currency interest-rate swaps;

(b)

forward foreign-exchange contracts;

(c)

currency futures;

(d)

[F2 currency options;]

(e)

other contracts of a similar nature;

(f)

contracts of a nature similar to (a) to (e) concerning gold.

Textual Amendments

F2 Annex 2 point 2(d) substituted (1.1.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 4 para. 13(3); S.I. 2021/671, reg. 5(c)

3. [F3 Contracts of a nature similar to those in points 1(a) to (e) and 2(a) to (d) of this Annex concerning other reference items or indices. This includes as a minimum all instruments specified in paragraphs 4 to 7, 9, 10 and 11 of Part 1 of Schedule 2 to the Regulated Activities Order not otherwise included in point 1 or 2 of this Annex.]] U.K.

Textual Amendments

F3 Annex 2 point 3 substituted (1.1.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 4 para. 13(4); S.I. 2021/671, reg. 5(c)