financial services and markets act 2000 pdf

financial services and markets act 2000 pdf

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Appointment by FCA of persons to carry out investigations. Authority’s duty to co-operate with others. 2. Information: compliance with EU requirements. Parliamentary control of statutory instruments. Partnerships and unincorporated associations. 120. 113. 23. Procedure on application for variation or revocation of direction. 23A. 432. 252A.Proposal to convert to a non-feeder UCITS. 175. (1) In this Schedule— “assets” includes contingent assets; “consolidated supervision”... PART 1B Part 4A permission: authorised persons who are not PRA-authorised persons, PART 1C Part 4A permission: conditions for which FCA is responsible in relation to PRA-authorised persons. Additional power to direct recognised central counterparties, Power of appropriate regulator to disallow excessive regulatory provision, Duty to notify proposal to make regulatory provision, Restriction on making provision before appropriate regulator decides whether to act, Consideration by appropriate regulator whether to disallow proposed provision, Power to disallow excessive regulatory provision: supplementary, Obligation to notify the FCA: acquisitions of control. General duty of disclosure in listing particulars. 176A.Retention of documents taken under section 176, Part XII Control Over Authorised Persons, Notices of acquisitions of control over UK authorised persons, 178.Obligation to notify the appropriate regulator: acquisitions of control, Acquiring control and other changes of holding, 187A.Assessment: consultation by PRA with FCA, 187B.Assessment: consultation by FCA with PRA, 188.Assessment: consultation with EC competent authorities, 191A.Objection by the appropriate regulator, Notice of reductions of control of UK authorised persons, 191D.Obligation to notify the appropriate regulator: dispositions of control, 191E.Requirements for notices under section 191D. Procedure: refusal to revoke or vary direction. Application by an investment exchange. 12. 343. 135. 137C.FCA general rules: cost of credit and duration of credit agreements, 137D.FCA general rules: product intervention, 137F.Rules requiring participation in benchmark, 137FA.FCA general rules: disclosure of information about pension scheme transaction costs etc, 137FB.FCA general rules: disclosure of information about the availability of pensions guidance, 137FBA.FCA general rules: advice about transferring or otherwise dealing with annuity payments, 137FBB.FCA general rules: early exit pension charges, 137FC.FCA rules: disclosure of information about the availability of financial guidance, 137FD.FCA general rules: charges for claims management services, 137I.Remuneration policies: Treasury direction to consider compliance, 137J.Rules about recovery plans: duty to consult, 137K.Rules about resolution packs: duty to consult, 137L.Interpretation of sections 137J and 137K, 137M.Special provision relating to adequacy of resolution plans, 137N.Recovery plans and resolution packs: restriction on duty of confidence, 137S.Financial promotion rules: directions given by FCA, 137SA.Rules to recover expenses relating to the Money and Pensions Service, 137SB.Rules to recover debt advice expenses incurred by the devolved authorities, CHAPTER 2 Rules: modification, waiver, contravention and procedural provisions, 138B.Publication of directions under section 138A, 138E.Limits on effect of contravening rules, 138M.Consultation: exemptions for temporary product intervention rules, 138N.Temporary product intervention rules: statement of policy, 138O.Statement of policy under section 138N: procedure, 139B.Notification of FCA guidance to the Treasury, 140B.Advice about effect of regulating provision or practice, 140E.Publication by CMA of section 140B advice, 140F.Duty of CMA to send report to regulator, 140G.Duty of regulator to publish response, CHAPTER 5 Power to make consequential amendments. Industrial and provident societies and credit unions. Listing rules made under section 99 may require the payment... (1) In this paragraph “statement” means— (a) any untrue or... (1) In this paragraph “statement” means a statement included in... (1) In this paragraph “statement” has the same meaning as... A person does not incur any liability under section 90(1)... A person does not incur any liability under section 90(4)... “Expert” includes any engineer, valuer, accountant or other person whose... Securities to which this Schedule applies, Published information to which this Schedule applies, Liability of issuer for misleading statement or dishonest omission. 13. 132. Individually recognised overseas schemes. 142. 12. Procedure on giving directions under section 257 or 258A and varying them on FCA's own initiative. Belief that supplementary listing particulars not called for. 62. in connection with listing applications. 98. Authority’s duty to consider other permissions etc. 8. For further information see the Editorial Practice Guide and Glossary under Help. Variation etc. Advertisements etc. Matters which may be dealt with by prospectus rules, Prohibition of dealing etc. Consequences of a direction under section 405. Expressions relating to authorisation elsewhere in the single market. Provisions relating to industrial assurance and certain other enactments. Cancellation of Part IV permission: procedure. Directions in relation to the general prohibition. 7. Investigations etc. on FCA and PRA. (1) A full-scope UK AIFM may not exercise in the... Offence relating to exercise of passport rights. 322. Information given by auditor or actuary to a regulator. Power to impose penalties or issue censure, 123A.Power to prohibit individuals from managing or dealing, 123B.Suspending permission to carry on regulated activities etc, 123C.Exercise of administrative sanctions. 17. Part VIII Provisions relating to market abuse, 118A.Supplementary provision about certain behaviour. Amounts required by rules to be paid to the PRA. 2. 9.A certificate under this paragraph is one given by the... Part 2A Reclaim fund business transfer schemes, 9D.Certificate as to consent of home state regulator, Part III Insurance business transfers effected outside the United Kingdom. (1) The FCA may make arrangements for any of its... 9.The FCA must maintain satisfactory arrangements for—, Publication of record of meetings of governing body. 11.“Host state regulator” means the competent authority (within the meaning... 11A.”Tied agent” has the meaning given in Article 4.1.29 of... 11B.“ Management company ” has the meaning given in Article... 11C.“ UCITS ” has the meaning given in Article 1.2... 11D.“ EEA AIFM ” means an EEA firm falling within... Part II Exercise of Passport Rights by EEA Firms. Powers of FCA and PRA to participate in proceedings: trust deeds for creditors in Scotland. Applications for recognition of individual schemes. 1. PRA's power to require information: financial stability, Safeguards etc in relation to exercise of power under section 165A, Appointment of skilled person to collect and update information. Powers of FCA and PRA to participate in proceedings. 8. Any changes that have already been made by the team appear in the content and are referenced with annotations. 21. PART 13A Enhanced supervision of firms exercising rights under the Insurance Distribution Directive, 203A.Insurance distribution directive: enhanced supervision of EEA firms by UK regulators, 203B.Insurance distribution directive: enhanced supervision of UK firms by an EEA regulator, 203C.Modification or waiver of rules where firm subject to enhanced supervision, 203D.Publication of directions under section 203C, 204A.Meaning of “relevant requirement” and “appropriate regulator”, 206A. “Host state regulator” means the competent authority (within the meaning... ”Tied agent” has the meaning given in Article 4.1.29 of... “ Management company ” has the meaning given in Article... “ UCITS ” has the meaning given in Article 1.2... “ EEA AIFM ” means an EEA firm falling within... (1) Once an EEA firm which is seeking to establish... (1) If the firm falls within paragraph 5(a), (b), (c),... (1) The service conditions are that— (a) the firm has... (1) On qualifying for authorisation as a result of paragraph... Grant of permission: bidding for emission allowances, Representations and references to the Tribunal. (1) Transferable securities included in an offer where the total... PART 2 CONNECTED PERSONS: REFERENCES TO AN INTEREST IN SHARES OR DEBENTURES, 10.Right to exercise or control exercise of rights, Part I Insurance Business Transfer Schemes. Powers of persons appointed as a result of section 168(2). Minor and consequential amendments, transitional provisions and repeals. 1.The Table set out after this paragraph has effect for... 8.The Control of Misleading Advertisements Regulations 1988, 12.The Electricity (Northern Ireland) Order 1992, 14.Part IV of the Airports (Northern Ireland) Order 1994. 232A.Scheme operator's duty to provide information to FCA. 20. The Whole ��KH�~��›����+�7�53�2�a��7��X�ӓ���[ܭ LNDOCS01/ 1128231.1 1128231.3 3 (6) These Regulations come into force for all other purposes on 3rd January 2018. 16. 0000008560 00000 n 252. 0000000016 00000 n Regulators power to require information : authorised persons etc. 16B. 5. Applications to Tribunal to quash rules or provision of rules, Power to widen the scope of consumer redress schemes. 0000024180 00000 n to give notice. Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001(S.I. Effect of order sanctioning business transfer scheme. (1) The Authority is not obliged to investigate a complaint... 9.The Authority must maintain satisfactory arrangements for—. 8. Powers of persons appointed under section 167. Changes in responsibilities of senior managers, Variation of senior manager's approval at request of relevant authorised person, Variation of senior manager's approval on initiative of regulator, Exercise of power under section 63ZB: procedure, Statement of policy relating to conditional approval and variation, Certification of employees by relevant authorised persons, Rules of conduct: responsibilities of relevant authorised persons, Requirement for relevant authorised persons to notify regulator of disciplinary action. 15. (1) The securities are offered to a public authority. Transferable securities: public offers and admission to trading, 84.Matters which may be dealt with by prospectus rules, 85.Prohibition of dealing etc. Effect of order sanctioning business transfer scheme. (1) Subject to sub-paragraphs (4D) to (4I), a UK firm... 20ZA.Information for host state regulator. Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 that was amended or inserted by the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017. 169A.Support of overseas regulator with respect to financial stability. Insurers: service of petition etc. Financial Services and Markets Act 2000 if you are in the United Kingdom or, if you are not in the United Kingdom, another appropriately authorised independent financial adviser. The House of Commons Disqualification Act 1975 (c. 24). Schemes constituted in other EEA States. 1018 0 obj <> endobj 12.Any of the following— (a) debentures; (b) debenture stock; 13. 259. Exemption from liability in damages. 251. Certificates for purposes of insurance business transfers overseas. %%EOF 329. 9. 13. (1) An application for an administration order in respect of... Power to give directions to insolvency practitioner. Agreeing to make— I persons and functions for the purposes of section 168 2! 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