Version status: Partly in force | Document consolidation status: Updated to reflect all known changes
Published date: 14 June 2000
    Version 1 of 1    

Financial Services and Markets Act 2000 (FSMA) (c. 8)

Introductory Text
Part I The Regulator (ss. 1-18) [Substituted with new Part IA]
Substituted
1. The Financial Services Authority [Substituted with new Part IA]
The Authority's general duties (s. 2) [Substituted with new Part IA]
Substituted
2. The Authority's general duties [Substituted with new Part IA]
The regulatory objectives (ss. 3-6) [Substituted with new Part IA]
Substituted
3. Market confidence [Substituted with new Part IA]
Substituted
3A. Financial stability [Substituted with new Part IA]
Omitted
4. Public awareness
Substituted
5. The protection of consumers [Substituted with new Part IA]
Substituted
6. The reduction of financial crime [Substituted with new Part IA]
Enhancing public understanding of financial matters etc (s. 6A) [Substituted with new Part IA]
Substituted
6A. Enhancing public understanding of financial matters etc [Substituted with new Part IA]
Corporate governance (s. 7) [Substituted with new Part IA]
Substituted
7. Duty of Authority to follow principles of good governance [Substituted with new Part IA]
Arrangements for consulting practitioners and consumers (ss. 8-11) [Substituted with new Part IA]
Substituted
8. The Authority's general duty to consult [Substituted with new Part IA]
Substituted
9. The Practitioner Panel [Substituted with new Part IA]
Substituted
10. The Consumer Panel [Substituted with new Part IA]
Substituted
11. Duty to consider representations by the Panels [Substituted with new Part IA]
Reviews (ss. 12-13) [Substituted with new Part IA]
Substituted
12. Reviews [Substituted with new Part IA]
Substituted
13. Right to obtain documents and information [Substituted with new Part IA]
Inquiries (ss. 14-18) [Substituted with new Part IA]
Substituted
14. Cases in which the Treasury may arrange independent inquiries [Substituted with new Part IA]
Substituted
15. Power to appoint person to hold an inquiry [Substituted with new Part IA]
Substituted
16. Powers of appointed person and procedure [Substituted with new Part IA]
Substituted
17. Conclusion of inquiry [Substituted with new Part IA]
Substituted
18. Obstruction and contempt [Substituted with new Part IA]
Part IA The Regulators (ss. 1A-3T)
Chapter 1 The Financial Conduct Authority (ss. 1A-1T)
The Financial Conduct Authority (s. 1A)
In force
1A. The Financial Conduct Authority
The FCA's general duties (ss. 1B-1E)
In force
1B. The FCA's general duties
In force
1C. The consumer protection objective
In force
1D. The integrity objective
In force
1E. The competition objective
Interpretation of terms used in relation to FCA's general duties (ss. 1F-1I)
In force
1F. Meaning of "relevant markets" in strategic objective
In force
1G. Meaning of "consumer"
In force
1H. Further interpretative provisions for sections 1B to 1G
In force
1I. Meaning of "the UK financial system"
Modifications applying if core activity not regulated by PRA (s. 1IA)
In force
1IA. Modifications applying if core activity not regulated by PRA
Power to amend objectives (s. 1J)
In force
1J. Power to amend objectives
Recommendations (ss. 1JA)
In force
1JA. Recommendations by Treasury in connection with general duties
Guidance about objectives (s. 1K)
In force
1K. Guidance about objectives
Supervision, monitoring and enforcement (s. 1L)
In force
1L. Supervision, monitoring and enforcement
Arrangements for consulting practitioners and consumers (ss. 1M-1R)
In force
1M. The FCA's general duty to consult
In force
1N. The FCA Practitioner Panel
In force
1O. The Smaller Business Practitioner Panel
In force
1P. The Markets Practitioner Panel
In force
1Q. The Consumer Panel
In force
1R. Duty to consider representations made by the Panels
Reviews (ss. 1S-1T)
In force
1S. Reviews
In force
1T. Right to obtain documents and information
Chapter 2 The Prudential Regulation Authority (ss. 2A-2P)
The Prudential Regulation Authority (s. 2A-2AB)
In force
2A. The Prudential Regulation Authority
In force
2AB. Functions of the PRA
The PRA's general duties (ss. 2B-2J)
In force
2B. The PRA's general objective
In force
2C. Insurance objective
In force
2D. Power to provide for additional objectives
In force
2E. Strategy
In force
2F. Interpretation of references to objectives
In force
2G. Limit on effect of sections 2B to 2D
In force
2H. Secondary competition objective and duty to have regard to regulatory principles
In force
2I. Guidance about objectives
In force
2J. Interpretation of Chapter 2
Supervision (s. 2K)
In force
2K. Arrangements for supervision of PRA-authorised persons
Arrangements for consulting practitioners (ss. 2L-2N)
In force
2L. The PRA's general duty to consult
In force
2M. The PRA Practitioner Panel
In force
2N. Duty to consider representations
Reviews (ss. 2O-2P)
Omitted
2O. Reviews
Omitted
2P. Right to obtain documents and information
Chapter 3 Further provisions relating to FCA and PRA (ss. 3A-3T)
Introductory (s. 3A)
In force
3A. Meaning of "regulator"
Regulatory principles (s. 3B)
In force
3B. Regulatory principles to be applied by both regulators
Corporate governance (s. 3C)
In force
3C. Duty to follow principles of good governance
Relationship between FCA and PRA (ss. 3D-3H)
In force
3D. Duty of FCA and PRA to ensure co-ordinated exercise of functions
In force
3E. Memorandum of understanding
In force
3F. With-profits insurance policies
In force
3G. Power to establish boundary between FCA and PRA responsibilities
In force
3H. Parliamentary control of orders under section 3G
Power of PRA to restrain proposed action by FCA (ss. 3I-3L)
In force
3I. Power of PRA to require FCA to refrain from specified action
In force
3J. Power of PRA in relation to with-profits policies
In force
3K. Revocation of directions under section 3I or 3J
In force
3L. Further provisions about directions under section 3I or 3J
Directions relating to consolidated supervision (ss. 3M-3P)
In force
3M. Directions relating to consolidated supervision of groups
In force
3N. Revocation of directions under section 3M
In force
3O. Further provisions about directions under section 3M
In force
3P. Consultation by regulator complying with direction
Co-operation with Bank of England (s. 3Q)
In force
3Q. Co-operation by FCA with Bank of England
Arrangements for provision of services (s. 3R)
In force
3R. Arrangements for provision of services
Enhancing public understanding of financial matters etc. (s. 3S)
In force
3S. The consumer financial education body
Interpretation (s. 3T)
In force
3T. Interpretation
Part II Regulated and Prohibited Activities (ss. 19-30)
The general prohibition (s. 19)
In force
19. The general prohibition
Requirement for permission (s. 20)
In force
20. Authorised persons acting without permission
Financial promotion (s. 21)
In force
21. Restrictions on financial promotion
Regulated activities (ss. 22-22B)
In force
22. Regulated activities
In force
22A. Designation of activities requiring prudential regulation by PRA
In force
22B. Parliamentary control in relation to certain orders under section 22A
Offences (ss. 23-25)
In force
23. Contravention of the general prohibition or section 20(1) or (1A)
In force
23A. Parliamentary control in relation to certain orders under section 23
In force
24. False claims to be authorised or exempt
In force
25. Contravention of section 21
Enforceability of agreements (ss. 26-30)
In force
26. Agreements made by unauthorised persons
In force
26A. Agreements relating to credit
In force
27. Agreements made through unauthorised persons
In force
28. Agreements made unenforceable by section 26 or 27: general cases
In force
28A. Credit-related agreements made unenforceable by section 26, 26A or 27
In force
28B. Decisions under section 28A: procedure
In force
29. Accepting deposits in breach of general prohibition
In force
30. Enforceability of agreements resulting from unlawful communications
Part III Authorisation and Exemption (ss. 31-39A)
Authorisation (ss. 31-32)
In force
31. Authorised persons
In force
32. Partnerships and unincorporated associations
Ending of authorisation (ss. 33-36)
In force
33. Withdrawal of authorisation
In force
34. EEA firms
In force
35. Treaty firms
In force
36. Persons authorised as a result of paragraph 1(1) of Schedule 5
Exercise of EEA rights by UK firms (s. 37)
In force
37. Exercise of EEA rights by UK firms
Exemption (ss. 38-39A)
In force
38. Exemption orders
In force
39. Exemption of appointed representatives
In force
39A. Certain tied agents operating outside United Kingdom
Part IV Permission to Carry on Regulated Activities (ss. 40-55) [Substituted with new Part IVA]
Application for permission (ss. 40-41) [Substituted with new Part IVA]
Substituted
40. Application for permission [Substituted with new Part IVA]
Substituted
41. The threshold conditions [Substituted with new Part IVA]
Permission (ss. 42-43) [Substituted with new Part IVA]
Substituted
42. Giving permission [Substituted with new Part IVA]
Substituted
43. Imposition of requirements [Substituted with new Part IVA]
Variation and cancellation of Part IV permission (ss. 44-48) [Substituted with new Part IVA]
Substituted
44. Variation etc. at request of authorised person [Substituted with new Part IVA]
Substituted
45. Variation etc. on the Authority's own initiative [Substituted with new Part IVA]
Substituted
46. Variation of permission on acquisition of control [Substituted with new Part IVA]
Substituted
47. Exercise of power in support of overseas regulator [Substituted with new Part IVA]
Substituted
48. Prohibitions and restrictions [Substituted with new Part IVA]
Connected persons (s. 49) [Substituted with new Part IVA]
Substituted
49. Persons connected with an applicant [Substituted with new Part IVA]
Additional permissions (s. 50) [Substituted with new Part IVA]
Substituted
50. Authority's duty to consider other permissions etc. [Substituted with new Part IVA]
Procedure (ss. 51-54) [Substituted with new Part IVA]
Substituted
51. Applications under this Part [Substituted with new Part IVA]
Substituted
52. Determination of applications [Substituted with new Part IVA]
Substituted
53. Exercise of own-initiative power: procedure [Substituted with new Part IVA]
Substituted
54. Cancellation of Part IV permission: procedure [Substituted with new Part IVA]
Notification (ss. 54A-54B) [Substituted with new Part IVA]
Substituted
54A. Notification of ESMA [Substituted with new Part IVA]
Substituted
54B. Notification of EBA [Substituted with new Part IVA]
References to the Tribunal (s. 55) [Substituted with new Part IVA]
Substituted
55. Right to refer matters to the Tribunal [Substituted with new Part IVA]
Part IVA Permission to Carry on Regulated Activities (ss. 55A-55Z4)
Application for permission (ss. 55A-55G)
In force
55A. Application for permission
In force
55B. The threshold conditions
In force
55C. Power to amend Schedule 6
In force
55D. Firms based outside EEA
In force
55E. Giving permission: the FCA
In force
55F. Giving permission: the PRA
In force
55G. Giving permission: special cases
Variation and cancellation of Part 4A permission (ss. 55H-55KA)
In force
55H. Variation by FCA at request of authorised person
In force
55I. Variation by PRA at request of authorised person
In force
55J. Variation or cancellation on initiative of regulator
In force
55K. Investment firms: particular conditions that enable cancellation
In force
55KA. Insurance undertakings, reinsurance undertakings and third-country insurance undertakings: particular conditions that enable cancellation
Imposition and variation of requirements (ss. 55L-55PB)
In force
55L. Imposition of requirements by FCA
In force
55M. Imposition of requirements by PRA
In force
55N. Requirements under section 55L or 55M: further provisions
In force
55O. Imposition of requirements on acquisition of control
In force
55P. Prohibitions and restrictions
In force
55PA. Assets requirements imposed on insurance undertakings or reinsurance undertakings
In force
55PB. Requirements relating to general meetings
Exercise of power in support of overseas regulator (s. 55Q)
In force
55Q. Exercise of power in support of overseas regulator
Connected persons (s. 55R)
In force
55R. Persons connected with an applicant
Additional permissions (s. 55S)
In force
55S. Duty of FCA or PRA to consider other permissions
Persons whose interests are protected (s. 55T)
In force
55T. Persons whose interests are protected
Procedure (ss. 55U-55Z)
In force
55U. Applications under this Part
In force
55V. Determination of applications
In force
55W. Applications under this Part: communications between regulators
In force
55X. Determination of applications: warning notices and decision notices
In force
55XA. Applications relating to administering a benchmark
In force
55Y. Exercise of own-initiative power: procedure
In force
55Z. Cancellation of Part 4A permission: procedure
Notification (ss. 55Z1-55Z2A)
In force
55Z1. Notification of ESMA
In force
55Z2. Notification of EBA
In force
55Z2A. Notification of the European bodies
References to the Tribunal (s. 55Z3)
In force
55Z3. Right to refer matters to the Tribunal
Interpretation (s. 55Z4)
In force
55Z4. Interpretation of Part 4A
Part V Performance of Regulated Activities (ss. 56-71I)
Prohibition orders (ss. 56-58)
In force
56. Prohibition orders
In force
57. Prohibition orders: procedure and right to refer to Tribunal
In force
58. Applications relating to prohibitions: procedure and right to refer to Tribunal
Approval (ss. 59-63ZE)
In force
59. Approval for particular arrangements
In force
59ZA. Senior management functions
In force
59ZB. Designated senior management functions
In force
59A. Specifying functions as controlled functions: supplementary
In force
59AB. Specifying functions as controlled functions: transitional provision
In force
59B. Role of FCA in relation to PRA decisions
In force
60. Applications for approval
In force
60A. Vetting of candidates by authorised persons
In force
61. Determination of applications
In force
62. Applications for approval: procedure and right to refer to Tribunal
In force
62A. Changes in responsibilities of senior managers
In force
63. Withdrawal of approval
In force
63ZA. Variation of senior manager's approval at request of authorised person
In force
63ZB. Variation of senior manager's approval on initiative of regulator
In force
63ZC. Exercise of power under section 63ZB: procedure
In force
63ZD. Statement of policy relating to conditional approval and variation
In force
63ZE. Statement of policy: procedure
Performance of controlled functions without approval (ss. 63A-63D)
In force
63A. Power to impose penalties
In force
63B. Procedure and right to refer to Tribunal
In force
63C. Statement of policy
In force
63D. Statement of policy: procedure
Certification of employees (ss. 63E-63F)
In force
63E. Certification of employees by authorised persons
In force
63F. Issuing of certificates
Conduct of approved persons (ss. 64-65)
Omitted
64. Conduct: statements and codes
Omitted
65. Statements and codes: procedure
Conduct of approved persons and others (ss. 64A-70)
In force
64A. Rules of conduct
In force
64B. Rules of conduct: responsibilities of authorised persons
In force
64C. Requirement for authorised persons to notify regulator of disciplinary action
In force
66. Disciplinary powers
In force
66A. Misconduct: action by the FCA
In force
66B. Misconduct: action by the PRA
In force
67. Disciplinary measures: procedure and right to refer to Tribunal
In force
68. Publication
In force
69. Statement of policy
In force
70. Statements of policy: procedure
Breach of statutory duty (s. 71)
In force
71. Actions for damages
Relevant authorised person (s. 71A)
Omitted
71A. Meaning of "relevant authorised person"
Removal of directors and senior executives and appointment of temporary manager (ss. 71B-71I)
In force
71C. Temporary manager
In force
71B. Removal of directors and senior executives
In force
71D. Sections 71B and 71C: conditions
In force
71E. Temporary manager: further provisions in relation to the appointment
In force
71F. Temporary manager: instrument of appointment
In force
71G. Right to refer matters to the Tribunal
In force
71H. Removal of directors and senior executives and appointment of temporary manager: procedure
In force
71I. Sections 71B to 71H: interpretation
Part VI Official Listing (ss. 72-103)
The competent authority (ss. 72-73)
Omitted
72. The competent authority
Omitted
73. General duty of the competent authority
Rules (s. 73A)
In force
73A. Part 6 Rules
The official list (s. 74)
In force
74. The official list
Listing (ss. 75-78A)
In force
75. Applications for listing
In force
76. Decision on application
In force
77. Discontinuance and suspension of listing
In force
78. Discontinuance or suspension: procedure
In force
78A. Discontinuance or suspension at the request of the issuer: procedure
Listing particulars (ss. 79-83)
In force
79. Listing particulars and other documents
In force
80. General duty of disclosure in listing particulars
In force
81. Supplementary listing particulars
In force
82. Exemptions from disclosure
In force
83. Registration of listing particulars
Transferable securities: public offers and admission to trading (ss. 84-87)
In force
84. Matters which may be dealt with by prospectus rules
In force
85. Prohibition of dealing etc. in transferable securities without approved prospectus
In force
86. Exempt offers to the public and admissions to trading
In force
87. Election to have prospectus
Approval of prospectus (ss. 87A-87D)
In force
87A. Criteria for approval of prospectus by FCA
In force
87B. Exemptions from disclosure
In force
87C. Consideration of application for approval
In force
87D. Procedure for decision to refuse an application for approval
Transfer of application for approval of a prospectus (ss. 87E-87F)
Omitted
87E. Transfer by FCA of application for approval
Omitted
87F. Transfer to FCA of application for approval
Final terms (ss. 87FA-87FB)
Omitted
87FA. Final terms
Omitted
87FB. Communication of final terms by FCA
Supplementary prospectus (s. 87G)
In force
87G. Supplementary prospectus
Passporting (ss. 87H-87I)
Omitted
87H. Prospectus approved in another EEA State
Omitted
87I. Provision of information to host Member State
Transferable securities: powers of competent authority (s. 87J-87JB)
In force
87J. Requirements imposed as condition of approval
In force
87JA. Power to suspend scrutiny of prospectus
In force
87JB. Power to refuse approval of a prospectus
Powers exercisable in case of infringement of transparency obligation (ss. 87K-87P)
In force
87K. Power to suspend, restrict or prohibit offer to the public
In force
87L. Power to suspend, restrict or prohibit admission to trading on a regulated market
In force
87LA. Power of FCA to suspend or prohibit trading on a trading facility
In force
87M. Public censure of issuer
In force
87N. Right to refer matters to the Tribunal
In force
87O. Procedure under sections 87JA, 87K, 87L and 87LA
In force
87P. Exercise of powers at request of competent authority of another EEA State
Rights of investors (s. 87Q)
Omitted
87Q. Right of investor to withdraw
Registered investors (s. 87R)
Omitted
87R. Register of investors
Sponsors (ss. 88-89)
In force
88. Sponsors
In force
88A. Disciplinary powers: contravention of s.88(3)(c) or (e)
In force
88B. Action under s.88A: procedure and right to refer to Tribunal
In force
88C. Action under s.88A: statement of policy
In force
88D. Statement of policy under s.88C: procedure
In force
88E. Powers exercisable to advance operational objectives
In force
88F. Action under s.88E: procedure
Deleted
89. Public censure of sponsor
Transparency obligations (ss. 89A-98G)
In force
89A. Transparency rules
In force
89B. Provision of voteholder information
In force
89C. Provision of information by issuers of transferable securities
In force
89D. Notification of voting rights held by issuer
Omitted
89E. Notification of proposed amendment of issuer's constitution
In force
89F. Transparency rules: interpretation etc
In force
89G. Transparency rules: other supplementary provisions
Power of competent authority to call for information (ss. 89H-89J)
In force
89H. FCA's power to call for information
In force
89I. Requirements in connection with call for information
In force
89J. Power to call for information: supplementary provisions
Powers exercisable in case of infringement of transparency obligation (ss. 89K-89NA)
In force
89K. Public censure of issuer
In force
89L. Power to suspend or prohibit trading of securities
In force
89M. Procedure under section 89L
In force
89N. Right to refer matters to the Tribunal
In force
89NA. Voting rights suspension orders
Corporate governance (s. 89O)
In force
89O. Corporate governance rules
Primary information providers (ss. 89P-89W)
In force
89P. Primary information providers
In force
89Q. Disciplinary powers: contravention of s.89P(4) (b) or (d)
In force
89R. Action under s.89Q: procedure and right to refer to Tribunal
In force
89S. Action under s.89Q: statement of policy
In force
89T. Statement of policy under s.89S: procedure
In force
89U. Powers exercisable to advance operational objectives
In force
89V. Action under s.89U: procedure
In force
89W. Storage of regulated information
Compensation for false or misleading statements etc. (ss. 90-90B)
In force
90. Compensation for statements in listing particulars or prospectus
In force
90ZA. Liability for key investor information
In force
90A. Liability of issuers in connection with published information
In force
90B. Power to make further provision about liability for published information
Penalties (ss. 91-94)
In force
91. Penalties for breach of Part 6 rules
In force
92. Procedure
In force
93. Statement of policy
In force
94. Statements of policy: procedure
Competition (s. 95)
Repealed
95. Competition scrutiny
Miscellaneous (ss. 96-102)
In force
96. Obligations of issuers of listed securities
Omitted
96A. Disclosure of information requirements
Omitted
96B. Disclosure rules: persons responsible for compliance
Omitted
96C. Suspension of trading
In force
97. Appointment by FCA of persons to carry out investigations
In force
97A. Reporting of infringements
Repealed
98. Advertisements etc. in connection with listing applications
Omitted
99. Fees
Omitted
100. Penalties
In force
100A. Exercise of powers where UK is host member state
In force
101. Listing rules: general provisions
Omitted
102. Exemption from liability in damages
Interpretative provisions (ss. 102A-103)
In force
102A. Meaning of "securities" etc.
In force
102B. Meaning of "offer of transferable securities to the public" etc.
In force
102C. Meaning of "home State" in relation to transferable securities
In force
103. Interpretation of this Part
Part VII Control of Business Transfers (ss. 103A-117)
In force
103A. Meaning of "the appropriate regulator"
Partly in force
104. Control of business transfers
In force
105. Insurance business transfer schemes
In force
106. Banking business transfer schemes
In force
106A. Reclaim fund business transfer scheme
In force
106B. Ring-fencing transfer scheme
In force
107. Application for order sanctioning transfer scheme
In force
108. Requirements on applicants
In force
109. Scheme reports: insurance business transfer schemes
In force
109A. Scheme reports: ring-fencing transfer schemes
In force
110. Right to participate in proceedings
In force
111. Sanction of the court for business transfer schemes
In force
112. Effect of order sanctioning business transfer scheme
In force
112ZA. Duty of regulator to provide copy of order
In force
112A. Rights to terminate etc.
In force
113. Appointment of actuary in relation to reduction of benefits
In force
114. Rights of certain policyholders
In force
114A. Notice of transfer of reinsurance contracts
Business transfers outside the United Kingdom (ss. 115-116)
In force
115. Certificates for purposes of insurance business transfers overseas
In force
116. Effect of insurance business transfers authorised in other EEA States
Modifications (s. 117)
In force
117. Power to modify this Part
Part VIII Provisions relating to market abuse (ss. 118-131AE)
Market abuse (ss. 118-118C)
Omitted
118. Market abuse
Omitted
118A. Supplementary provision about certain behaviour
Omitted
118B. Insiders
Omitted
118C. Inside information
The code (ss. 119-122)
Omitted
119. The code
Omitted
120. Provisions included in the FCA's code by reference to the City Code
Omitted
121. Codes: procedure
Omitted
122. Effect of the code
Powers to require information and supplemental provisions (ss. 122A-122F)
In force
122A. Power to require information from issuers
In force
122B. General power to require information
In force
122C. Power to require information: supplementary
In force
122D. Entry of premises under warrant
In force
122E. Retention of documents taken under section 122D
In force
122F. Offences
Other administrative powers (ss. 122G-122IA)
In force
122G. Publication of information and corrective statements by issuers
In force
122H. Publication of corrective statements generally
In force
122HA. Publication of corrective statements relating to benchmarks
In force
122I. Power to suspend trading in financial instruments
In force
122IA. Power to suspend auctioning of auctioned products on a recognised auction platform
Administrative sanctions (ss. 123-123C)
In force
123. Power to impose penalties or issue censure
In force
123A. Power to prohibit individuals from managing or dealing
In force
123B. Suspending permission to carry on regulated activities etc
In force
123C. Exercise of administrative sanctions
Statement of policy (ss. 124-125)
In force
124. Statement of policy
In force
125. Statement of policy: procedure
Procedure (ss. 126-127A)
In force
126. Warning notices
In force
127. Decision notices and right to refer to Tribunal
In force
127A. Consultation with the PRA in relation to administrative sanctions
Miscellaneous (ss. 128-131AE)
In force
128. Suspension of investigations
In force
129. Power of court to impose administrative sanctions in cases of market abuse
In force
130. Guidance
In force
131. Effect on transactions
Omitted
130A. Interpretation and supplementary provision
In force
131A. Protected Disclosures
In force
131AA. Reporting of infringements
In force
131AB. Interpretation
In force
131AC. Meaning of "persons closely associated" in the market abuse regulation
In force
131AD. Individual liability in respect of legal persons under Articles 8 and 12 of the market abuse regulation
In force
131AE. Liability for contraventions of Article 14 or 15 of the market abuse regulation
Part VIIIA Short selling (ss. 131B-131L)
Short selling rules (ss. 131B-131D)
Repealed
131B. Short selling rules
Repealed
131C. Short selling rules: definitions etc
Repealed
131D. Short selling rules: procedure in urgent cases
Power to require information (ss. 131E-131FC)
In force
131E. Power to require information
In force
131F. Power to require information: supplementary
In force
131FA. Investigations in support of EEA regulator
In force
131FB. Entry of premises under warrant
In force
131FC. Retention of documents taken under section 131FB
Breach of short selling regulation etc (ss. 131G-131L)
In force
131G. Power to impose penalty or issue censure
In force
131H. Procedure and right to refer to Tribunal
In force
131I. Duty on publication of statement
In force
131J. Imposition of penalties under section 131G: statement of policy
In force
131K. Statement of policy: procedure
In force
131L. Offences
Part IX Hearings and Appeals (ss. 132-137)
Omitted
132. The Financial Services and Markets Tribunal
In force
133. Proceedings before Tribunal: general provision
In force
133A. Proceedings before Tribunal: decision and supervisory notices, etc.
In force
133B. Offences
Legal assistance before the Tribunal (ss. 134-136)
In force
134. Legal assistance scheme
In force
135. Provisions of the legal assistance scheme
In force
136. Funding of the legal assistance scheme
Appeals (s. 137)
Omitted
137. Appeal on a point of law
Part IXA Rules and Guidance (ss. 137A-141A)
Chapter 1 Rule-making powers (ss. 137A-137T)
General rule-making powers of the FCA and the PRA (ss. 137A-137N)
In force
137A. The FCA's general rules
In force
137B. FCA general rules: clients' money, right to rescind etc.
In force
137C. FCA general rules: cost of credit and duration of credit agreements
In force
137D. FCA general rules: product intervention
In force
137E. Orders under s.137D(1)(b)
In force
137F. Rules requiring participation in benchmark
In force
137G. The PRA's general rules
In force
137H. General rules about remuneration
In force
137I. Remuneration policies: Treasury direction to consider compliance
In force
137J. Rules about recovery plans: duty to consult
In force
137K. Rules about resolution packs: duty to consult
In force
137L. Interpretation of sections 137J and 137K
Repealed
137M. Special provision relating to adequacy of resolution plans
In force
137N. Recovery plans and resolution packs: restriction on duty of confidence
Not yet in force
137FA. FCA general rules: disclosure of information about pension scheme transaction costs etc
In force
137FB. FCA general rules: disclosure of information about the availability of pensions guidance
In force
137FBA. FCA general rules: advice about transferring or otherwise dealing with annuity payments
In force
137FBB. FCA general rules: early exit pension charges
In force
137FC. FCA rules: disclosure of information about the availability of financial guidance
Not yet in force
137FD. FCA general rules: charges for claims management services
Specific rule-making powers (ss. 137O-137SB)
In force
137O. Threshold condition code
In force
137P. Control of information rules
In force
137Q. Price stabilising rules
In force
137R. Financial promotion rules
In force
137S. Financial promotion rules: directions given by FCA
In force
137SA Rules to recover expenses relating to the Money and Pensions Service
In force
137SB Rules to recover debt advice expenses incurred by the devolved authorities
Supplementary powers (s. 137T)
In force
137T. General supplementary powers
Chapter 2 Rules: modification, waiver, contravention and procedural provisions (ss. 138A-138O)
Modification or waiver of rules (ss. 138A-138B)
In force
138A. Modification or waiver of rules
In force
138B. Publication of directions under section 138A
Contravention of rules (ss. 138C-138E)
In force
138C. Evidential provisions
In force
138D. Actions for damages
In force
138E. Limits on effect of contravening rules
Procedural provisions (ss. 138F-138O)
In force
138F. Notification of rules
In force
138G. Rule-making instruments
In force
138H. Verification of rules
In force
138I. Consultation by the FCA
In force
138J. Consultation by the PRA
In force
138K. Consultation: mutual societies
In force
138L. Consultation: general exemptions
In force
138M. Consultation: exemptions for temporary product intervention rules
In force
138N. Temporary product intervention rules: statement of policy
In force
138O. Statement of policy under section 138N: procedure
Chapter 2A Technical standards (ss. 138P - 138S)
In force
138P. Technical standards
In force
138Q. Standards instruments
In force
138R. Treasury approval
In force
138S. Application of Chapters 1 and 2
Chapter 3 Guidance (ss. 139A-139B)
In force
139A. Power of the FCA to give guidance
In force
139B. Notification of FCA guidance to the Treasury
Chapter 4 Competition scrutiny (ss. 140A-140H)
In force
140A. Interpretation
In force
140B. Advice about effect of regulating provision or practice
In force
140C. Consultation with regulator
In force
140D. Investigation powers of CMA
In force
140E. Publication by CMA of section 140B advice
In force
140F. Duty of CMA to send report to regulator
In force
140G. Duty of regulator to publish response
In force
140H. Role of the Treasury
Chapter 5 Power to make consequential amendments (s. 141A)
In force
141A. Power to make consequential amendments of references to rules etc.
Part IXB Ring-fencing (ss. 142A-142Z1)
Introductory (ss. 142A-142F)
In force
142A. "Ring-fenced body"
In force
142B. Core activities
In force
142C. Core services
In force
142D. Excluded activities
In force
142E. Power of Treasury to impose prohibitions
In force
142F. Orders under section 142A, 142B, 142D or 142E
Ring-fenced bodies not to carry on excluded activities or contravene prohibitions (s. 142G)
In force
142G. Ring-fenced bodies not to carry on excluded activities or contravene prohibitions
Ring-fencing rules (ss. 142H-142J)
In force
142H. Ring-fencing rules
In force
142I. Powers of Treasury in relation to ring-fencing rules
In force
142J. Review of ring-fencing rules etc
Group restructuring powers (ss. 142K-142R)
In force
142K. Cases in which group restructuring powers become exercisable
In force
142L. Group restructuring powers
In force
142M. Procedure: preliminary notices
In force
142N. Procedure: warning notice and decision notice
In force
142O. References to Tribunal
In force
142P. Subsequent variation of requirement or direction
In force
142Q. Consultation etc. between regulators
In force
142R. Relationship with regulators' powers under Parts 4A and 12A
Failure of parent undertaking to comply with direction (ss. 142S-142V)
In force
142S. Power to impose penalty or issue censure
In force
142T. Procedure and right to refer to Tribunal
In force
142U. Duty on publication of statement
In force
142V. Imposition of penalties under section 142S: statement of policy
Pension liabilities (ss. 142W-142X)
In force
142W. Pension liabilities
In force
142X. Further interpretative provisions for section 142W
Loss-absorbency requirements (s. 142Y)
In force
142Y. Power of Treasury in relation to loss-absorbency requirements
General (ss. 142Z-142Z1)
In force
142Z. Affirmative procedure in relation to certain orders under Part 9B
In force
142Z1. Interpretation of Part 9B
Part X Rules and Guidance (ss. 138-164) [Substituted with new Part IXA]
Chapter I Rule-making Powers (ss. 138-156) [Substituted with new Part IXA]
Substituted
138. General rule-making power [Substituted with new Part IXA]
Substituted
139. Miscellaneous ancillary matters [Substituted with new Part IXA]
Substituted
139A. General rules about remuneration [Substituted with new Part IXA]
Substituted
139B. Rules about recovery plans [Substituted with new Part IXA]
Substituted
139C. Rules about resolution plans [Substituted with new Part IXA]
Substituted
139D. Sections 139B and 139C: interpretation [Substituted with new Part IXA]
Substituted
139E. Rules about recovery and resolution plans: supplementary provision [Substituted with new Part IXA]
Substituted
139F. Special provision in relation to resolution plans [Substituted with new Part IXA]
Substituted
140. Restriction on managers of certain collective investment schemes [Substituted with new Part IXA]
Substituted
141. Insurance business rules [Substituted with new Part IXA]
Substituted
142. Insurance business: regulations supplementing Authority's rules [Substituted with new Part IXA]
Repealed
143. Endorsement of codes etc.
Specific rules (ss. 144-147) [Substituted with new Part IXA]
Substituted
144. Price stabilising rules [Substituted with new Part IXA]
Substituted
145. Financial promotion rules [Substituted with new Part IXA]
Substituted
146. Money laundering rules [Substituted with new Part IXA]
Substituted
147. Control of information rules [Substituted with new Part IXA]
Modification or waiver (s. 148) [Substituted with new Part IXA]
Substituted
148. Modification or waiver of rules [Substituted with new Part IXA]
Contravention of rules (ss. 149-151) [Substituted with new Part IXA]
Substituted
149. Evidential provisions [Substituted with new Part IXA]
Substituted
150. Actions for damages [Substituted with new Part IXA]
Substituted
151. Limits on effect of contravening rules [Substituted with new Part IXA]
Procedural provisions (ss. 152-156) [Substituted with new Part IXA]
Substituted
152. Notification of rules to the Treasury [Substituted with new Part IXA]
Substituted
153. Rule-making instruments [Substituted with new Part IXA]
Substituted
154. Verification of rules [Substituted with new Part IXA]
Substituted
155. Consultation [Substituted with new Part IXA]
Substituted
156. General supplementary powers [Substituted with new Part IXA]
Chapter II Guidance (ss. 157-158A) [Substituted with new Part IXA]
Substituted
157. Guidance [Substituted with new Part IXA]
Substituted
158. Notification of guidance to the Treasury [Substituted with new Part IXA]
Substituted
158A. Guidance on outsourcing by investment firms and credit institutions [Substituted with new Part IXA]
Chapter III Competition scrutiny (ss. 159-164) [Substituted with new Part IXA]
Substituted
159. Interpretation [Substituted with new Part IXA]
Substituted
160. Reports by OFT [Substituted with new Part IXA]
Substituted
161. Power of OFT to request information [Substituted with new Part IXA]
Substituted
162. Consideration by Competition Commission [Substituted with new Part IXA]
Substituted
163. Role of the Treasury [Substituted with new Part IXA]
Substituted
164. The Competition Act 1998 [Substituted with new Part IXA]
Part XI Information Gathering and Investigations (ss. 165-177)
Powers to gather information (ss. 165-166A)
In force
165. Regulators' power to require information: authorised persons etc
In force
165A. PRA's power to require information: financial stability
In force
165B. Safeguards etc in relation to exercise of power under section 165A
In force
165C. Orders under section 165A(2)(d)
In force
166. Reports by skilled persons
In force
166A. Appointment of skilled person to collect and update information
Appointment of investigators (ss. 167-168)
In force
167. Appointment of persons to carry out general investigations
In force
168. Appointment of persons to carry out investigations in particular cases
Assistance to overseas regulators (ss. 169-169A)
In force
169. Investigations etc. in support of overseas regulator
In force
169A. Support of overseas regulator with respect to financial stability
Conduct of investigations (ss. 170-176A)
In force
170. Investigations: general
In force
171. Powers of persons appointed under section 167
In force
172. Additional power of persons appointed as a result of section 168(1) or (4)
In force
173. Powers of persons appointed as a result of section 168(2)
In force
174. Admissibility of statements made to investigators
In force
175. Information and documents: supplemental provisions
In force
176. Entry of premises under warrant
In force
176A. Retention of documents taken under section 176
Offences (s. 177)
In force
177. Offences
Part XII Control Over Authorised Persons (ss. 178-192)
Notices of acquisitions of control over UK authorised persons (ss. 178-180)
In force
178. Obligation to notify the Authority: acquisitions of control
In force
179. Requirements for section 178 notices
In force
180. Acknowledgment of receipt
Acquiring control and other changes of holding (ss. 181-184)
In force
181. Acquiring control
In force
182. Increasing control
In force
183. Reducing or ceasing to have control
In force
184. Disregarded holdings
Assessment procedure (ss. 185-191)
In force
185. Assessment: general
In force
186. Assessment criteria
In force
187. Approval with conditions
In force
187A. Assessment: consultation by PRA with FCA
In force
187B. Assessment: consultation by FCA with PRA
In force
187C. Variation etc of conditions
In force
188. Assessment: consultation with EC competent authorities
In force
189. Assessment: Procedure
In force
190. Requests for further information
In force
190A. Assessment and resolution
In force
191. Duration of approval
Enforcement procedures (ss. 191A-191C)
In force
191A. Objection by the appropriate regulator
In force
191B. Restriction notices
In force
191C. Orders for sale of shares
Notice of reductions of control of UK authorised persons (ss. 191D-191E)
In force
191D. Obligation to notify the Authority: dispositions of control
In force
191E. Requirements for notices under section 191D
Offences (s. 191F)
In force
191F. Offences under this Part
Interpretation (s. 191G)
In force
191G. Interpretation
Miscellaneous (s. 192)
In force
192. Power to change definitions of control etc.
Part XIIA Powers Exercisable in Relation to Parent Undertakings (ss. 192A-192N)
Introductory (ss. 192A-192B)
In force
192A. Meaning of "qualifying authorised person"
In force
192B. Meaning of "qualifying parent undertaking"
Power of direction (ss. 192C-192I)
In force
192C. Power to direct qualifying parent undertaking
In force
192D. Requirements that may be imposed
In force
192E. Direction: procedure
In force
192F. Consultation between regulators
In force
192G. References to Tribunal
In force
192H. Statement of policy: directions under section 192C
In force
192I. Statement of policy relating to directions: procedure
Rules requiring provision of information by parent undertakings (s. 192J)
In force
192J. Rules requiring provision of information by parent undertakings
Rules applying to parent undertakings of ring-fenced bodies (s. 192JA)
In force
192JA. Rules applying to parent undertakings of ring-fenced bodies
Rules requiring parent undertakings to facilitate resolution (s. 192JB)
In force
192JB. Rules requiring parent undertakings to facilitate resolution
Failure to comply with direction or breach of rules (ss. 192K-192N)
In force
192K. Power to impose penalty or issue censure
In force
192L. Procedure and right to refer to Tribunal
In force
192M. Duty on publication of statement
In force
192N. Imposition of penalties under section 192K: statement of policy
Part XIII Incoming Firms: Intervention by FCA or PRA (ss. 193-204)
Interpretation (ss. 193-196)
In force
193. Interpretation of this Part
In force
194. General grounds on which power of intervention is exercisable
In force
194A. Contravention by relevant EEA firm with UK branch of requirement under markets in financial instruments directive: appropriate regulator primarily responsible for securing compliance
In force
194B. Contravention by relevant EEA firm of requirement in capital requirements directive or capital requirements regulation
In force
194C. Contravention by relevant EEA firm with UK branch of requirement in mortgages directive: appropriate regulator primarily responsible for securing compliance
In force
194D. Contravention by relevant EEA firm of requirement in insurance distribution directive: appropriate regulator primarily responsible for securing compliance
In force
195. Exercise of power in support of overseas regulator
Omitted
195A. Contravention by relevant EEA firm, EEA UCITS or EEA AIFM of directive requirements: home state regulator primarily responsible for securing compliance
In force
195B. Contravention by relevant EEA firm of requirement in mortgages directive: home state regulator primarily responsible for securing compliance
In force
195C. Contravention by relevant EEA firm of requirement in insurance distribution directive: home state regulator primarily responsible for securing compliance
In force
196. The power of intervention
Exercise of power of intervention (ss. 197-199A)
In force
197. Procedure on exercise of power of intervention
In force
198. Power to apply to court for injunction in respect of certain overseas insurance companies
In force
199. Additional procedure for EEA firms in certain cases
In force
199A. Management companies: loss of authorisation
Supplemental (ss. 200-202)
In force
200. Rescission and variation of requirements
In force
201. Effect of certain requirements on other persons
In force
202. Contravention of requirement imposed under this Part
Powers of Office of Fair Trading (ss. 203-204)
Omitted
203. Power to prohibit the carrying on of Consumer Credit Act business
Omitted
204. Power to restrict the carrying on of Consumer Credit Act business
Part XIIIA Enhanced supervision of firms exercising rights under the Insurance Distribution Directive (ss. 203A-203D)
In force
203A. Insurance distribution directive: enhanced supervision of EEA firms by UK regulators
In force
203B. Insurance distribution directive: enhanced supervision of UK firms by an EEA regulator
In force
203C. Modification or waiver of rules where firm subject to enhanced supervision
In force
203D. Publication of directions under section 203C
Part XIV Disciplinary Measures (ss. 204A-211)
In force
204A. Meaning of "relevant requirement" and "appropriate regulator
In force
205. Public censure
In force
206. Financial penalties
In force
206A. Suspending permission to carry on regulated activities etc
In force
207. Proposal to take disciplinary measures
In force
208. Decision notice
In force
209. Publication
In force
210. Statements of policy
In force
211. Statements of policy: procedure
Part XV The Financial Services Compensation Scheme (ss. 212-224A)
The scheme manager (s. 212)
In force
212. The scheme manager
The scheme (s. 213)
In force
213. The compensation scheme
Provisions of the scheme (ss. 214-217)
In force
214. General
Not yet in force
214A. Contingency funding
In force
214B. Contribution to costs of special resolution regime
In force
214C. Limit on amount of special resolution regime payments
In force
214D. Contributions under section 214B: supplementary
In force
215. Rights of the scheme in insolvency
In force
216. Continuity of long-term insurance policies
In force
217. Insurers in financial difficulties
Relationship with the regulators (s. 217A)
In force
217A. Co-operation
Annual plan and report (ss. 217B-218ZA)
In force
217B. Annual plan
In force
218. Annual report
In force
218ZA. Audit of accounts
Information and documents (ss. 218A-221)
In force
218A. Regulators' power to require information
In force
218B. Treasury's power to require information from scheme manager
In force
219. Scheme manager's power to require information
In force
220. Scheme manager's power to inspect information held by liquidator etc.
In force
221. Powers of court where information required
Miscellaneous (ss. 221A-224A)
In force
221A. Delegation of functions
In force
222. Statutory immunity
In force
223. Management expenses
Not yet in force
223A. Investing in National Loans Fund
In force
223B. Borrowing from National Loans Fund
In force
223C. Payments in error
In force
224. Scheme manager's power to inspect documents held by Official Receiver etc.
In force
224ZA. Discharge of functions
In force
224A. Functions under the Banking Act 2009
Part XVA Power to require FSCS manager to act in relation to other schemes (ss. 224B-224F)
Introduction (s. 224B)
In force
224B. Meaning of "relevant scheme" etc
Power to require FSCS manager to act (ss. 224C-224E)
In force
224C. Power to require FSCS manager to act on behalf of manager of relevant scheme
In force
224D. Cases where FSCS manager may decline to act
In force
224E. Grounds for declining to act
Rules (s. 224F)
In force
224F. Rules about relevant schemes
Part XVI The Ombudsman Scheme (ss. 225-234B)
The scheme (ss. 225-227)
In force
225. The scheme and the scheme operator
In force
226. Compulsory jurisdiction
In force
227. Voluntary jurisdiction
Omitted
226A. Consumer credit jurisdiction
Determination of complaints (ss. 228-230A)
In force
228. Determination under the compulsory jurisdiction
In force
229. Awards
In force
230. Costs
In force
230A. Reports of determinations
Information (ss. 231-233)
In force
231. Ombudsman's power to require information
In force
232. Powers of court where information required
In force
232A. Scheme operator's duty to provide information to FCA
In force
233. Data protection
Funding (ss. 234-234A)
In force
234. Industry funding
Omitted
234A. Funding by consumer credit licensees etc.
Successors to businesses (s. 234B)
In force
234B. Transfers of liability
Part XVIA Consumer protection and competition (ss. 234C-234O)
Super-complaints and references to FCA (ss. 234C-234G)
In force
234C. Complaints by consumer bodies
In force
234D. Reference by scheme operator or regulated person
In force
234E. Response by FCA
In force
234F. Section 234E: exceptions
In force
234G. Guidance
Competition (ss. 234H-234O)
Omitted
234H. Power of FCA to make request to Competition and Markets Authority
In force
234I. The FCA's functions under Part 4 of the Enterprise Act 2002
In force
234J. The FCA's functions under the Competition Act 1998
In force
234K. Duty to consider exercise of powers under Competition Act 1998
In force
234L. Provision of information and assistance to a CMA group
In force
234M. Function of keeping market under review
In force
234N. Exclusion of general duties
In force
234O. Supplementary provision
Part XVII Collective Investment Schemes (ss. 235-284)
Chapter I Interpretation (ss. 235-237)
In force
235. Collective investment schemes
In force
235A. Contractual schemes
In force
236. Open-ended investment companies
In force
236A. Meaning of "UCITS"
In force
237. Other definitions
Chapter II Restrictions on Promotion (ss. 238-241)
In force
238. Restrictions on promotion
In force
239. Single property schemes
In force
240. Restriction on approval of promotion
In force
241. Actions for damages
Chapter III Authorised Unit Trust Schemes (ss. 242-261)
Applications for authorisation (ss. 242-244)
In force
242. Applications for authorisation of unit trust schemes
In force
243. Authorisation orders
In force
244. Determination of applications
In force
243A. Authorisation orders: authorised money market funds
Applications refused (s. 245)
In force
245. Procedure when refusing an application
Certificates (s. 246)
In force
246. Certificates
Rules (ss. 247-250)
In force
247. Trust scheme rules
In force
248. Scheme particulars rules
In force
249. Disciplinary measures
In force
250. Modification or waiver of rules
Alterations (ss. 251-252A)
In force
251. Alteration of schemes and changes of manager or trustee
In force
252. Procedure when refusing approval of a proposal under section 251
In force
252A. Proposal to convert to a non-feeder UCITS
Exclusion clauses (s. 253)
In force
253. Avoidance of exclusion clauses
Ending of authorisation (ss. 254-256)
In force
254. Revocation of authorisation order otherwise than by consent
In force
255. Procedure
In force
256. Requests for revocation of authorisation order
Powers of intervention (ss. 257-261B)
In force
257. Directions
In force
258. Applications to the court
In force
258A. Winding up or merger of master UCITS
In force
259. Procedure on giving directions under section 257 or 258A and varying them on FCA's own initiative
In force
260. Procedure: refusal to revoke or vary direction
In force
261. Procedure: revocation of direction and grant of request for variation
In force
261A. Information for home state regulator
In force
261B. Information for feeder UCITS
Chapter IIIA Authorised Contractual Schemes (ss. 261C-261Z5)
Applications for authorisation (ss. 261C -261F)
In force
261C. Applications for authorisation of contractual schemes
In force
261D. Authorisation orders: authorised contractual schemes
In force
261E. Authorised contractual schemes: holding of units
In force
261EA. Authorisation orders: authorised money market funds
In force
261F. Determination of applications
Applications refused (s. 261G)
In force
261G. Procedure when refusing an application
Certificates (s. 261H)
In force
261H. Certificates
Rules (ss. 261I-261L)
In force
261I. Contractual scheme rules
In force
261J. Contractual scheme particulars rules
In force
261K. Disciplinary measures
In force
261L. Modification or waiver of rules
Co-ownership schemes: rights and liabilities of participants (ss. 261M-261P)
In force
261M. Contracts
In force
261N. Effect of becoming or ceasing to be a participant
In force
261O. Limited liability
In force
261P. Segregated liability in relation to umbrella co-ownership schemes
Alterations (ss. 261Q-261S)
In force
261Q. Alteration of contractual schemes and changes of operator or depositary
In force
261R. Procedure when refusing approval of a proposal under section 261Q
In force
261S. Proposal to convert to a non-feeder UCITS
Exclusion clauses (s. 261T)
In force
261T. Avoidance of exclusion clauses
Ending of authorisation (ss. 261U-261W)
In force
261U. Revocation of authorisation order otherwise than by consent
In force
261V. Procedure for revoking authorisation order
In force
261W. Requests for revocation of authorisation order
Powers of intervention (ss. 261X-261Z5)
In force
261X. Directions
In force
261Y. Applications to the court
In force
261Z. Winding up or merger of master UCITS
In force
261Z1. Procedure on giving directions under section 261X or 261Z and varying them on FCA's own initiative
In force
261Z2. Procedure: refusal to revoke or vary direction
In force
261Z3. Procedure: revocation of direction and grant of request for variation
In force
261Z4. Information for home state regulator
In force
261Z5. Information for feeder UCITS
Chapter IV Open-ended Investment Companies (ss. 262-263)
In force
262. Open-ended investment companies
In force
263. Amendment of section 716 Companies Act 1985
Chapter V Recognised Overseas Schemes (ss. 264-283)
Schemes constituted in other EEA States (ss. 264-269)
In force
264. Schemes constituted in other EEA States
Omitted
265. Representations and references to the Tribunal
In force
266. Disapplication of rules
In force
267. Power of FCA to suspend promotion of scheme
In force
268. Procedure on giving directions under section 267 and varying them on FCA's own initiative
In force
269. Procedure on application for variation or revocation of direction
Schemes authorised in designated countries or territories (ss. 270-271)
Omitted
270. Schemes authorised in designated countries or territories
Omitted
271. Procedure
Individually recognised overseas schemes (ss. 272-282)
In force
272. Individually recognised overseas schemes
In force
273. Matters that may be taken into account
In force
274. Applications for recognition of individual schemes
In force
275. Determination of applications
In force
276. Procedure when refusing an application
In force
277. Alteration of schemes and changes of operator, trustee or depositary
In force
277A. Regular provision of information relating to compliance with requirements for recognition
In force
278. Rules as to scheme particulars
In force
279. Revocation of recognition
In force
280. Procedure
In force
281. Directions
In force
282. Procedure on giving directions under section 281 and varying them otherwise than as requested
Facilities and information in UK (s. 283)
In force
283. Facilities and information in UK
Chapter VA Master-Feeder Structures (ss. 283A-283B)
In force
283A. Master-feeder structures
In force
283B. Reports on derivative instruments
Chapter VI Investigations (s. 284)
In force
284. Power to investigate
Part XVIIA Transformer vehicles (s. 284A)
In force
284A. Transformer vehicles
Part XVIII Recognised investment exchanges, clearing houses and CSDs (ss. 285-313)
Chapter I Exemption (ss. 285-301)
General (285-286)
In force
285. Exemption for recognised bodies etc.
In force
285A. Powers exercisable in relation to recognised bodies
In force
286. Qualification for recognition
Applications for recognition (ss. 287-292)
In force
287. Application by an investment exchange
In force
287A. Application by an investment exchange: persons connected with an applicant
In force
288. Application by a clearing house
In force
288A. Application by a central securities depository
In force
289. Applications: supplementary
In force
290. Recognition orders
In force
290A. Refusal of recognition on ground of excessive regulatory provision
In force
290ZA. Variation of central counterparty recognition order
In force
290ZB. Variation of CSD recognition order
In force
291. Liability in relation to recognised body's regulatory functions
In force
292. Overseas investment exchanges and overseas clearing houses
Publication of information by recognised investment exchange (s. 292A)
In force
292A. Publication of information by recognised investment exchange
Supervision (ss. 293-300)
In force
293. Notification requirements
In force
293A. Information: compliance with EU requirements
In force
294. Modification or waiver of rules
In force
295. Notification: overseas investment exchanges and overseas clearing houses
In force
295A. On-site inspection of EEA CSDs
In force
296. Appropriate regulator's power to give directions
In force
296A. Additional power to direct recognised central counterparties
In force
297. Revoking recognition
In force
298. Directions and revocation: procedure
In force
299. Complaints about recognised bodies
In force
300. Extension of functions of Tribunal
Power to disallow excessive regulatory provision (ss. 300A-300E)
In force
300A. Power of appropriate regulator to disallow excessive regulatory provision
In force
300B. Duty to notify proposal to make regulatory provision
In force
300C. Restriction on making provision before appropriate regulator decides whether to act
In force
300D. Consideration by appropriate regulator whether to disallow proposed provision
In force
300E. Power to disallow excessive regulatory provision: supplementary
Other matters (s. 301)
In force
301. Supervision of certain contracts
Chapter IA Control Over Recognised Investment Exchange (ss. 301A-301M)
Notices of acquisitions of control over recognised investment exchanges (ss. 301A-301C)
In force
301A. Obligation to notify the FCA: acquisitions of control
In force
301B. Requirements for section 301A notices
In force
301C. Acknowledgment of receipt
Acquiring and increasing control (ss. 301D-301E)
In force
301D. Acquiring and increasing control
In force
301E. Disregarded holdings
Assessment procedure (ss. 301F-301H)
In force
301F. Assessment: general
In force
301G. Assessment: Procedure
In force
301H. Duration of approval
Enforcement procedures (ss. 301I-301K)
In force
301I. Objections by the FCA
In force
301J. Restriction notices
In force
301K. Orders for sale of shares
Offences (s. 301L)
In force
301L. Offences under this Chapter
Interpretation (s. 301M)
In force
301M. Interpretation
Chapter II Competition Scrutiny (ss. 302-310)
Omitted
302. Interpretation
Role of Office of Fair Trading (ss. 303-305)
Omitted
303. Initial report by OFT
Omitted
304. Further reports by OFT
Omitted
305. Investigations by OFT
Role of Competition Commission (s. 306)
Omitted
306. Consideration by Competition Commission
Role of the Treasury (ss. 307-310)
Omitted
307. Recognition orders: role of the Treasury
Omitted
308. Directions by the Treasury
Omitted
309. Statements by the Treasury
Omitted
310. Procedure on exercise of certain powers by the Treasury
Chapter III Exclusion from the Competition Act 1998 (ss. 311-312)
Omitted
311. The Chapter I prohibition
Omitted
312. The Chapter II prohibition
Chapter IIIA Passport Rights (ss. 312A-312D)
EEA market operators in United Kingdom (ss. 312A-312B)
In force
312A. Exercise of passport rights by EEA market operator
In force
312B. Removal of passport rights from EEA market operator
Recognised investment exchanges operating in EEA States (other than the United Kingdom) (s. 312C)
In force
312C. Exercise of passport rights by recognised investment exchange
Interpretation (s. 312D)
In force
312D. Interpretation of Chapter IIIA
Chapter IIIB Disciplinary measures (ss. 312E-312K)
In force
312E. Public censure
In force
312F. Financial penalties
In force
312FA. Central securities depositories: further disciplinary measures
In force
312G. Proposal to take disciplinary measures
In force
312H. Decision notice
In force
312I. Publication
In force
312J. Statement of policy
In force
312K. Statement of policy: procedure
Chapter IV (s. 313)
Interpretation (s. 313)
In force
313. Interpretation of Part XVIII
Part XVIIIA Suspension and Removal of Financial Instruments From Trading (ss. 313A-313D)
In force
313A. FCA's power to require suspension or removal of financial instruments from trading
In force
313B. Suspension or removal of financial instruments from trading: procedure
In force
313BA. Procedure following consideration of representations
In force
313BB. Revocation of requirements: applications by institutions
In force
313BC. Decisions on applications for revocation by institutions
In force
313BD. Revocation of requirements: applications by issuers
In force
313BE. Decisions on applications for revocation by issuers
Omitted
313C. Notification in relation to suspension or removal of a financial instrument from trading
In force
313D. Interpretation of Part 18A
In force
313CA. Suspension or removal of financial instruments from trading: notification and trading on other venues
In force
313CB. Suspension or removal of a financial instrument from a trading by a trading venue: FCA duties
In force
313CC. Suspension or removal of a financial instrument from trading in another EEA state: FCA duties
Part XIX Lloyd's (ss. 314-324)
General (ss. 314-314A)
In force
314. Regulators' general duty
In force
314A. The PRA's objectives in relation to Lloyd's etc
The Society (s. 315)
In force
315. The Society: regulated activities
Power to apply Act to Lloyd's underwriting (ss. 316-319)
In force
316. Direction by a regulator
In force
317. The core provisions
In force
318. Exercise of powers through Council
In force
319. Consultation
Former underwriting members (ss. 320-322)
In force
320. Former underwriting members
In force
321. Requirements imposed under section 320
In force
322. Rules applicable to former underwriting members
Transfers of business done at Lloyd's (s. 323)
In force
323. Transfer schemes
Supplemental (s. 324)
In force
324. Interpretation of this Part
Part XX Provision of Financial Services by Members of the Professions (ss. 325-333)
In force
325. FCA's general duty
In force
326. Designation of professional bodies
In force
327. Exemption from the general prohibition
In force
328. Directions in relation to the general prohibition
In force
329. Orders in relation to the general prohibition
In force
330. Consultation
In force
331. Procedure on making or varying orders under section 329
In force
332. Rules in relation to persons to whom the general prohibition does not apply
In force
333. False claims to be a person to whom the general prohibition does not apply
Part XXA Pensions Guidance (ss. 333A-333R)
Omitted
333A. Introduction and definitions
Giving of pensions guidance (ss. 333B-333D)
Omitted
333B. Secretary of State's role in relation to pensions guidance
Omitted
333C. Giving of pensions guidance
Omitted
333D. Financial assistance to bodies involved in giving pensions guidance
Designation of guidance providers (s. 333E)
Omitted
333E. Designation of providers of pensions guidance
Co-operation and information sharing (s. 333F)
Omitted
333F. Co-operation and information sharing
False claims when giving pensions guidance (s. 333G)
Omitted
333G. Offence of falsely claiming to be giving pensions guidance under arrangements made with Secretary of State
Standards for giving of pensions guidance by designated guidance providers (ss. 333H-333N)
Omitted
333H. Standards for giving of pensions guidance by designated guidance providers
Omitted
333I. Monitoring of compliance with standards by designated guidance providers
Omitted
333J. Failure by designated guidance providers to comply with standards: FCA recommendations
Omitted
333K. FCA policy on making recommendations under section 333J
Omitted
333L. FCA policy on making recommendations under section 333J: procedure
Omitted
333M. Failure by designated guidance providers to comply with standards: directions
Omitted
333N. Directions to designated guidance providers under section 333M: relationship with power to revoke a designation
FCA's duties and power to give guidance (ss. 333O-333P)
Omitted
333O. FCA's duties
Omitted
333P. Power of the FCA to give guidance
Funding of pensions guidance (ss. 333Q-333R)
Omitted
333Q. Funding of FCA's pensions guidance costs
Omitted
333R. Funding of Secretary of State's pensions guidance costs
Part XXB Illegal money lending (ss. 333S-333T)
In force
333S. Financial assistance for action against illegal money lending
In force
333T. Funding of action against illegal money lending
Part XXC Politically exposed persons: money laundering and terrorist financing (s. 333U)
Not yet in force
333U. Money laundering and terrorist financing: guidance
Part XXI Mutual Societies (ss. 334-339)
Friendly societies (ss. 334-335)
In force
334. The Friendly Societies Commission
Repealed
335. The Registry of Friendly Societies
Building societies (ss. 336-337)
Repealed
336. The Building Societies Commission
Repealed
337. The Building Societies Investor Protection Board
Industrial and provident societies and credit unions (s. 338)
Repealed
338. Industrial and provident societies and credit unions
Supplemental (ss. 339)
Repealed
339. Supplemental provisions
Part XXII Auditors and Actuaries (ss. 339A-346)
General duties of regulator (ss. 339A-339C)
In force
339A. General duties of PRA in relation to auditors
In force
339B. Duty to meet auditors of certain institutions
In force
339C. PRA-authorised persons to which this section applies
Appointment (s. 340)
In force
340. Appointment
Information (ss. 341-344)
In force
341. Access to books etc.
In force
342. Information given by auditor or actuary to a regulator
In force
343. Information given by auditor or actuary to a regulator: persons with close links
In force
344. Duty of auditor or actuary resigning etc. to give notice
Disciplinary measures (ss. 345-345E)
In force
345. Disciplinary measures: FCA
In force
345A. Disciplinary measures: PRA
In force
345B. Procedure and right to refer to Tribunal
In force
345C. Duty on publication of statement
In force
345D. Imposition of penalties on auditors or actuaries: statement of policy
In force
345E. Statements of policy: procedure
Offence (s. 346)
In force
346. Provision of false or misleading information to auditor or actuary
Part XXIII Public Record, Disclosure of Information and Co-operation (ss. 347-354H)
The public record (ss. 347-347A)
In force
347. The record of authorised persons etc.
In force
347A. Duty of PRA to disclose information relevant to the record
Disclosure of information (ss. 348-353)
In force
348. Restrictions on disclosure of confidential information by FCA, PRA etc.
In force
349. Exceptions from section 348
In force
350. Disclosure of information by the Inland Revenue
Omitted
351. Competition information
In force
351A. Disclosure under the UCITS directive
In force
352. Offences
In force
353. Removal of other restrictions on disclosure
Information received from Bank of England (s. 353A)
In force
353A. Information received from Bank of England
Co-operation (ss. 354A-354C)
Substituted
354. Authority's duty to co-operate with others [Substituted with ss. 354A-354C]
In force
354A. FCA's duty to co-operate with others
In force
354B. PRA's duty to co-operate with others
Omitted
354C. PRA's duty to provide information to Bank of England
Provision of information to ESMA, the Commission and other EEA States (ss. 354D-354H)
In force
354D. Information under the markets in financial instruments directive
In force
354E. Competent authorities under the markets in financial instruments directive: designation and co-operation
In force
354F. Information under the transparency obligations directive
In force
354G. Information under the UCITS directive
In force
354H. Information under the Insurance Distribution Directive
Part XXIV Insolvency (ss. 355-379)
Interpretation (s. 355)
In force
355. Interpretation of this Part
Voluntary arrangements (ss. 356-358)
In force
356. Powers of FCA and PRA to participate in proceedings: company voluntary arrangements
In force
357. Powers of FCA and PRA to participate in proceedings: individual voluntary arrangements
In force
358. Powers of FCA and PRA to participate in proceedings: trust deeds for creditors in Scotland
Administration orders (ss. 359-362A)
In force
359. Administration order
In force
360. Insurers
In force
361. Administrator's duty to report to FCA and PRA
In force
362. Powers of FCA and PRA to participate in proceedings
In force
362A. Administrator appointed by company or directors
Receivership (ss. 363-364)
In force
363. Powers of FCA and PRA to participate in proceedings
In force
364. Receiver's duty to report to FCA and PRA
Voluntary winding up (ss. 365-366)
In force
365. Powers of FCA and PRA to participate in proceedings
In force
366. Insurers effecting or carrying out long-term contracts or insurance
Winding up by the court (ss. 367-371)
In force
367. Winding-up petitions
In force
368. Winding-up petitions: EEA and Treaty firms
In force
369. Insurers: service of petition etc. on FCA and PRA
In force
369A. Reclaim funds: service of petition etc on FCA and PRA
In force
370. Liquidator's duty to report to FCA and PRA
In force
371. Powers of FCA and PRA to participate in proceedings
Bankruptcy (ss. 372-374)
In force
372. Petitions
In force
373. Insolvency practitioner's duty to report to FCA and PRA
In force
374. Powers of FCA or PRA to participate in proceedings
Provisions against debt avoidance (s. 375)
In force
375. Right of FCA and PRA to apply for an order
Supplemental provisions concerning insurers (ss. 376-379)
In force
376. Continuation of contracts of long-term insurance where insurer in liquidation
In force
377. Reducing the value of contracts instead of winding up
In force
378. Treatment of assets on winding up
In force
379. Winding-up rules
Settlement finality (s. 379A)
In force
379A. Power to apply settlement finality regime to payment institutions
Part XXV Injunctions and Restitution (ss. 380-386)
Injunctions (ss. 380-381)
In force
380. Injunctions
In force
381. Injunctions in cases of market abuse
Restitution orders (ss. 382-383)
In force
382. Restitution orders
In force
383. Restitution orders in cases of market abuse
Restitution required by FCA or PRA (ss. 384-386)
In force
384. Power of FCA or PRA to require restitution
In force
385. Warning notices
In force
386. Decision notices
Part XXVI Notices (ss. 387-396)
Warning notices (s. 387)
In force
387. Warning notices
Decision notices (s. 388)
In force
388. Decision notices
Conclusion of proceedings (ss. 389-390)
In force
389. Notices of discontinuance
In force
390. Final notices
Publication (ss. 391-391F)
In force
391. Publication
In force
391A. Publication: special provisions relating to the capital requirements directive
In force
391B. Publication: special provisions relating to the transparency obligations directive
In force
391C. Publication: special provisions relating to the UCITS directive
In force
391D. Publication: special provisions relating to the markets in financial instruments directive
In force
391E. Publication: special provisions relating to the insurance distribution directive
In force
391F. Publication: special provisions relating to the prospectus regulation
Third party rights and access to evidence (ss. 392-394)
In force
392. Application of sections 393 and 394
In force
393. Third party rights
In force
394. Access to FCA or PRA material
The FCA's and PRA's procedures (ss. 395-396)
In force
395. The FCA's and PRA's procedures
In force
396. Statements under section 395: consultation
Part XXVII Offences (ss. 397-403)
Miscellaneous offences (s. 397-399)
Repealed
397. Misleading statements and practices
In force
398. Misleading FCA or PRA: residual cases
In force
399. Misleading the CMA
Bodies corporate and partnerships (s. 400)
In force
400. Offences by bodies corporate etc.
Institution of proceedings (ss. 401-403)
In force
401. Proceedings for offences
In force
402. Power of FCA to institute proceedings for certain other offences
In force
403. Jurisdiction and procedure in respect of offences
Part XXVIII Miscellaneous (ss. 404-416)
Schemes for reviewing past business (ss. 404-404G)
In force
404. Consumer redress schemes
In force
404A. Rules under s.404: supplementary
In force
404B. Complaints to the ombudsman scheme
In force
404C. Enforcement
In force
404D. Applications to Tribunal to quash rules or provision of rules
In force
404E. Meaning of "consumers"
In force
404F. Other definitions etc
In force
404G. Power to widen the scope of consumer redress schemes
Third countries (ss. 405-409)
Omitted
405. Directions
Omitted
406. Interpretation of section 405
Omitted
407. Consequences of a direction under section 405
Omitted
408. EFTA firms
In force
409. Gibraltar
International obligations (s. 410)
In force
410. International obligations
Fees to meet Treasury expenses (ss. 410A-410B)
In force
410A. Fees to meet certain expenses of the Treasury
In force
410B. Directions in pursuance of section 410A
Tax treatment of levies and repayments (s. 411)
Repealed
411. Tax treatment of levies and repayments
Gaming contracts (ss. 412)
In force
412. Gaming contracts
Trade-matching and reporting systems (ss. 412A-412B)
Omitted
412A. Approval and monitoring of trade-matching and reporting systems
Omitted
412B. Procedure for approval and suspension or withdrawal of approval
Limitation on powers to require documents (s. 413)
In force
413. Protected items
Service of notices (s. 414)
In force
414. Service of notices
Jurisdiction (s. 415)
In force
415. Jurisdiction in civil proceedings
Powers under the Act (ss. 415A-415B)
In force
415A. Powers under the Act
In force
415B. Consultation in relation to taking certain enforcement action
Removal of certain unnecessary provisions (s. 416)
In force
416. Provisions relating to industrial assurance and certain other enactments
Part XXIX Interpretation (ss. 417-425C)
In force
417. Definitions
In force
418. Carrying on regulated activities in the United Kingdom
In force
419. Carrying on regulated activities by way of business
In force
419A. Claims management services
In force
419B. Carrying on claims management activity in Great Britain
In force
420. Parent and subsidiary undertaking
In force
421. Group
In force
421ZA. Immediate group
In force
421A. Meaning of "participating interest"
In force
422. Controller
In force
422A. Disregarded holdings
In force
423. Manager
In force
423A. Mortgage agreements etc
In force
424. Insurance
In force
424A. Investment firm
In force
425. Expressions relating to authorisation elsewhere in the single market
In force
425A. Consumers: regulated activities etc carried on by authorised persons
In force
425B. Consumers: regulated activities carried on by others
In force
425C. Qualifying EU provision
Part XXX Supplemental (ss. 426-433)
In force
426. Consequential and supplementary provision
In force
427. Transitional provisions
In force
428. Regulations and orders
In force
429. Parliamentary control of statutory instruments
In force
430. Extent
In force
431. Commencement
In force
432. Minor and consequential amendments, transitional provisions and repeals
In force
433. Short title
Schedule 1 The Financial Services Authority [Substituted with new Schedule 1ZA and Schedule 1ZB]
Substituted
Schedule 1, Part I General (paras. 1-12) [Substituted with new Schedule 1ZA and Schedule 1ZB]
Substituted
Schedule 1, Part II Status (paras. 13-15) [Substituted with new Schedule 1ZA and Schedule 1ZB]
Substituted
Schedule 1, Part III Penalties and Fees (paras. 16-18) [Substituted with new Schedule 1ZA and Schedule 1ZB]
Substituted
Schedule 1, Part IV Miscellaneous (paras. 19-21) [Substituted with new Schedule 1ZA and Schedule 1ZB]
Schedule 1ZA The Financial Conduct Authority
In force
Schedule 1ZA, Part 1 General (paras. 1-15)
In force
Schedule 1ZA, Part 2 Status (paras. 16-18)
In force
Schedule 1ZA, Part 3 Penalties and fees (paras. 19-24)
In force
Schedule 1ZA, Part 4 Miscellaneous (paras. 25-27)
Schedule 1ZB The Prudential Regulation Authority
In force
Schedule 1ZB, Part 1 General (paras. 1-23)
In force
Schedule 1ZB, Part 2 Status (paras. 24-26)
In force
Schedule 1ZB, Part 3 Penalties and fees (paras. 27-32)
In force
Schedule 1ZB, Part 4 Miscellaneous (paras. 33-35)
Schedule 1A Further provision about the consumer financial education body
In force
Schedule 1A, Part I General (paras. 1-10)
In force
Schedule 1A, Part II Funding (paras. 11-14)
In force
Schedule 1A, Part III Reviews (paras. 15-16)
Schedule 2 Regulated Activities
In force
Schedule 2, Part I Regulated activities: general (paras. 1-9)
In force
Schedule 2, Part IA Regulated activities: reclaim funds (para. 9A)
In force
Schedule 2, Part II Investments (paras. 10-24)
In force
Schedule 2, Part IIA Regulated activities relating to information about persons' financial standing (paras. 24A-24D)
In force
Schedule 2, Part IIB Regulated activities relating to the setting of benchmarks (paras. 24E-24H)
In force
Schedule 2, Part III Supplemental Provisions (paras. 25-27)
Schedule 3 EEA Passport Rights
In force
Schedule 3, Part I Defined terms (paras. 1-11D)
In force
Schedule 3, Part II Exercise of Passport Rights by EEA Firms (paras. 12-18)
In force
Schedule 3, Part III Exercise of Passport Rights by UK Firms (paras. 18A-29)
In force
Schedule 4 Treaty Rights
In force
Schedule 5 Persons Concerned in Collective Investment Schemes
Schedule 6 Threshold Conditions
Substituted
Schedule 6, Part I Part IV Permission [Substituted with new Parts 1-1G]
In force
Schedule 6, Part 1 Introduction (para. 1A)
In force
Schedule 6, Part 1B Part 4A permission: authorised persons who are not PRA-authorised persons (paras. 2A-2F)
In force
Schedule 6, Part 1C Part 4A permission: conditions for which FCA is responsible in relation to PRA-authorised persons (paras. 3A-3E)
In force
Schedule 6, Part 1D Part 4A permission: conditions for which the PRA is responsible in relation to insurers etc. (paras. 4A-4F)
In force
Schedule 6, Part 1E Part 4A permission: conditions for which the PRA is responsible in relation to other PRA-authorised persons (paras. 5A-5F)
In force
Schedule 6, Part 1F Authorisation under Schedule 3 (para. 6A)
In force
Schedule 6, Part 1G Authorisation under Schedule 4 (para. 7A)
Substituted
Schedule 6, Part II Authorisation [Substituted with new Parts 1-1G]
In force
Schedule 6, Part III Additional Conditions (paras. 8-9)
Omitted
Schedule 7 The Authority as Competent Authority for Part VI
Omitted
Schedule 8 Transfer of functions under Part VI
Repealed
Schedule 9 Non-listing Prospectuses
In force
Schedule 10 Compensation: Exemptions
Schedule 10A Liability of issuers in connection with published information
In force
Schedule 10A, Part 1 Scope of this Schedule (paras. 1-2)
In force
Schedule 10A, Part 2 Liability in connection with published information (paras. 3-7)
In force
Schedule 10A, Part 3 Supplementary provisions (para. 8)
Repealed
Schedule 11 Offers of Securities
Schedule 11A Transferable Securities
Omitted
Schedule 11A, Part 1 (paras. 1-6)
In force
Schedule 11A, Part 2 (paras. 7-9)
Schedule 11B Connected Persons
Omitted
Schedule 11B, Part 1 Meaning of "Connected Person" (paras. 1-6)
Omitted
Schedule 11B, Part 2 Connected Persons: References to an Interest in Shares or Debentures (paras. 7-12)
Schedule 12 Transfer Schemes: Certificates
In force
Schedule 12, Part I Insurance Business Transfer Schemes (paras. 1-6)
In force
Schedule 12, Part II Banking Business Transfer Schemes (paras. 7-9)
In force
Schedule 12, Part IIA Reclaim fund business transfer schemes (para. 9A)
In force
Schedule 12, Part IIB Ring-fencing transfer schemes (paras. 9B-9D)
In force
Schedule 12, Part III Insurance Business Transfers Effected Outside the United Kingdom (para. 10)
Schedule 13 The Financial Services and Markets Tribunal
Omitted
Schedule 13, Part I General (para. 1)
Omitted
Schedule 13, Part II The Tribunal (paras. 2-6)
Omitted
Schedule 13, Part III Constitution of Tribunal (para. 7)
Omitted
Schedule 13, Part IV Tribunal Procedure (paras. 8-13)
Omitted
Schedule 14 Role of the Competition Commission
Schedule 15 Information and Investigations: Connected Persons
In force
Schedule 15, Part I Rules for Specific Bodies (paras. 1-7)
In force
Schedule 15, Part II Additional Rules (para. 8)
Omitted
Schedule 16 Prohibitions and Restrictions Imposed by Office of Fair Trading
Schedule 17 The Ombudsman Scheme
In force
Schedule 17, Part I General (para. 1)
In force
Schedule 17, Part II The Scheme Operator (paras. 2-11)
In force
Schedule 17, Part III The Compulsory Jurisdiction (paras. 12-16)
Omitted
Schedule 17, Part IIIA The consumer credit jurisdiction (paras. 16A-16G)
In force
Schedule 17, Part IV The Voluntary Jurisdiction (paras. 17-22)
Schedule 17A Further provision in relation to exercise of Part 18 functions by Bank of England
In force
Schedule 17A, Part 1 Co-operation between appropriate regulators (paras. 1-8)
In force
Schedule 17A, Part 2 Application of provisions of this Act in relation to Bank of England (paras. 9-33)
In force
Schedule 17A, Part 3 Winding up, Administration or Insolvency of recognised clearing houses (paras. 34-35)
In force
Schedule 17A, Part 4 Fees (paras. 36-37)
Schedule 18 Mutuals
In force
Schedule 18, Part I Friendly Societies (paras. 1-8)
In force
Schedule 18, Part II Friendly Societies: Subsidiaries and Controlled Bodies (paras. 9-16)
In force
Schedule 18, Part III Building Societies (paras. 17-18)
Repealed
Schedule 18, Part IV Industrial and Provident Societies (paras. 19-20)
In force
Schedule 18, Part V Credit Unions (paras. 21-26)
Schedule 19 Competition Information
Repealed
Schedule 19, Part I Persons and functions for the purposes of section 351 (para. 1)
Repealed
Schedule 19, Part II The Enactments (paras. 1-19)
In force
Schedule 20 Minor and Consequential Amendments
In force
Schedule 21 Transitional Provisions and Savings
In force
Schedule 22 Repeals