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The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 is up to date with all changes known to be in force on or before 14 December 2024. There are changes that may be brought into force at a future date.
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below.
Whole provisions yet to be inserted into this Instrument (including any effects on those provisions):
Chapter VI Arranging Deals in Investments
28A.Arranging contracts , plans or agreements to which the arranger is a party
29A.Arrangements made in the course of administration by authorised person
30. Arranging transactions in connection with lending on the security of insurance policies
31. Arranging the acceptance of debentures in connection with loans
Chapter 6B Operating an Electronic System in Relation to Lending
CHAPTER VIIA Assisting in the Administration and Performance of a Contract of Insurance
Chapter X Collective Investment ...
Chapter 14A Regulated Credit Agreements
60C.Exempt agreements: exemptions relating to the nature of the agreement
60D.Exempt agreements: exemption relating to the purchase of land for non-residential purposes
60E.Exempt agreements: exemptions relating to the nature of the lender
60F.Exempt agreements: exemptions relating to number of repayments to be made
60G.Exempt agreements: exemptions relating to the total charge for credit
60H.Exempt agreements: exemptions relating to the nature of the borrower
60HA.Exempt agreements: provision qualifying articles 60E and 60F
Chapter 14B Regulated Consumer Hire Agreements
Chapter XVII Exclusions Applying to Several Specified Kinds of Activity
67. Activities carried on in the course of a profession or non-investment business
68. Activities carried on in connection with the sale of goods or supply of services
70. Activities carried on in connection with the sale of a body corporate
71. Activities carried on in connection with employee share schemes
72B.Activities carried on by a provider of relevant goods or services
72D.Large risks contracts where risk situated outside the United Kingdom
72J.Persons seeking to use the exemption under Article 2.1(j) of the markets in financial instruments directive
PART 3B CLAIMS MANAGEMENT ACTIVITIES IN GREAT BRITAIN
89G.Seeking out, referrals and identification of claims or potential claims
89H.Advice, investigation or representation in relation to a personal injury claim
89I.Advice, investigation or representation in relation to a financial services or financial product claim
89J.Advice, investigation or representation in relation to a housing disrepair claim
89K.Advice, investigation or representation in relation to a claim for a specified benefit
89L.Advice, investigation or representation in relation to a criminal injury claim
89M.Advice, investigation or representation in relation to an employment related claim
89N.Claims management activity conducted by legal professionals
89O.Claims management activity conducted by a charity or not-for-profit agency
89P.Claims management activity conducted by a person appointed by a statutory or other public body
89Q.Claims management activity conducted by the Motor Insurers’ Bureau
89R.Claims management activity conducted by a medical defence union
89S.Claims management activity conducted an independent trade union
89T.Claims management activity conducted by a students’ union
89U.Claims management activity conducted by an insurance intermediary
89W.Services in connection with counterclaims and claims against third parties
PART V UNAUTHORISED PERSONS CARRYING ON INSURANCE DISTRIBUTION ACTIVITIES
Financial Instruments and Investment services and activities
4.Options, futures, swaps, forward rate agreements and any other derivative...
5.Options, futures, swaps, forwards and any other derivative contracts relating...
6.Options, futures, swaps, and any other derivative contract relating to...
7.Option, futures, swaps, forwards and any other derivative contracts relating...
10.Options, futures, swaps, forward rate agreements and any other derivative...
11.Emission allowances consisting of any units recognised for compliance with...
PART 2 Articles 5 to 8, 10 and 11 of the Commission Regulation
Energy derivative contracts relating to oil and coal and wholesale energy products
Characteristics of other derivative contracts relating to currencies
PART 3 SECTION A OF ANNEX I TO THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE
1.Safekeeping and administration of financial instruments for the account of...
3.Advice to undertakings on capital structure, industrial strategy and related...
4.Foreign exchange services where these are connected to the provision...
5.Investment research and financial analysis or other forms of general...
7.Investment services and activities included in Part 3 of this...
Exemptions from the definition of “investment firm”
1.The following persons are excluded from the definition of “investment...
2.This paragraph applies if— (a) P's main business is not—...
3.The exemption in paragraph 1(p)— (a) only applies to the...
4.References in this Schedule to “regulated markets”, “MTFs” and “trading...
5.Any expression used in this Part of this Schedule which...
PART 2 Provision of investment service in an incidental manner
Relevant Text of the Insurance Distribution Directive
MEANING OF “BORROWER” IN RELATION TO GREEN DEAL CREDIT AGREEMENTS
FUNCTIONS INCLUDED IN THE ACTIVITY OF MANAGING A UCITS: ANNEX II TO THE UCITS DIRECTIVE
PERSONS EXCLUDED FROM REGULATED ACTIVITY OF MANAGING AN AIF
1A.For the purposes of paragraph 1, in Article 4(1)(o) of...
1B.In this Schedule— “ parent undertaking ” has the meaning...
4.The trustees and managers of an occupational pension scheme within...
5.... The European Investment Bank, the European Investment Fund, a...
7.A national, regional or local government or body or other...
9.An employee participation scheme or employee savings scheme.
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