|
|
Financial Conduct Authority and Prudential Regulation Authority (s. 6) |
|
|
6. The new Regulators |
|
|
Regulated activities (ss. 7-9) |
|
|
7. Extension of scope of regulation |
|
|
8. Orders under section 22 of FSMA 2000 |
|
|
9. Designation of activities requiring prudential regulation by PRA |
|
|
Appointed representatives (s. 10) |
|
|
10. Appointed representatives |
|
|
Permission to carry on regulated activities (s. 11) |
|
|
11. Permission to carry on regulated activities |
|
|
Passporting (s. 12) |
|
|
12. Passporting: exercise of EEA rights and Treaty rights |
|
|
Performance of regulated activities (ss. 13-15) |
|
|
13. Prohibition orders |
|
|
14. Approval for particular arrangements |
|
|
15. Further amendments relating to performance of regulated activities |
|
|
Official listing (ss. 16-21) |
|
|
16. FCA to exercise functions under Part 6 of FSMA 2000 |
|
|
17. Discontinuance or suspension at the request of the issuer: procedure |
|
|
18. Listing rules: disciplinary powers in relation to sponsors |
|
|
19. Primary information providers |
|
|
20. Penalties for breach of Part 6 rules |
|
|
21. Repeal of competition scrutiny power |
|
|
Control of business transfers (s. 22) |
|
|
22. Control of business transfers |
|
|
Hearings and appeals (s. 23) |
|
|
23. Proceedings before Tribunal |
|
|
Rules and guidance (s. 24) |
|
|
24. Rules and guidance |
|
|
Short selling (s. 25) |
|
|
⚠ 25. Functions relating to short selling |
|
|
Control over authorised persons (ss. 26-27) |
|
|
26. Control over authorised persons |
|
|
27. Powers of regulators in relation to parent undertakings |
|
|
Recognised investment exchanges and clearing houses (ss. 28-35) |
|
|
28. Exemption for recognised investment exchanges and clearing houses |
|
|
29. Powers in relation to recognised investment exchanges and clearing houses |
|
|
30. Recognition requirements: power of FCA and Bank to make rules |
|
|
31. Additional power to direct UK clearing houses |
|
|
32. Recognised bodies: procedure for giving directions under s. 296 etc. |
|
|
33. Power to take disciplinary measures against recognised bodies |
|
|
34. Repeal of special competition regime |
|
|
35. Sections 28 to 34: minor and consequential amendments |
|
|
Suspension and removal of financial instruments from trading (s. 36) |
|
|
36. Suspension and removal of financial instruments from trading |
|
|
Discipline and enforcement (s. 37) |
|
|
37. Discipline and enforcement |
|
|
Financial Services Compensation Scheme (s. 38) |
|
|
38. The Financial Services Compensation Scheme |
|
|
Financial ombudsman service (s. 39) |
|
|
39. The financial ombudsman service |
|
|
Lloyd's (s. 40) |
|
|
40. Lloyd's |
|
|
Information (s. 41) |
|
|
41. Information, investigations, disclosure etc. |
|
|
Auditors and actuaries (s. 42) |
|
|
42. Auditors and actuaries |
|
|
Consumer protection and competition (s. 43) |
|
|
43. Provisions about consumer protection and competition |
|
|
Insolvency (s. 44) |
|
|
44. Insolvency |
|
|
Miscellaneous amendments of FSMA 2000 (ss. 45-49) |
|
|
45. The consumer financial education body |
|
|
46. Members of the professions |
|
|
47. International obligations |
|
|
48. Interpretation of FSMA 2000 |
|
|
49. Parliamentary control of statutory instruments |
