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Financial Services and Markets Act 2000 (Financial Promotion) Order 2001 [SI 2001 No. 1335]Introductory TextPart I Citation, Commencement and Interpretation (arts. 1-3)Article 1 Citation and commencementArticle 2 Interpretation: generalArticle 3 Interpretation: unlisted companiesPart II Controlled Activities and Controlled Investments (art. 4)Article 4 Definition of controlled activities and controlled investmentsPart III Exemptions: Interpretation and Application (arts. 5-11)Article 5 Interpretation: financial promotion restrictionArticle 6 Interpretation: communicationsArticle 7 Interpretation: real time communicationsArticle 8 Interpretation: solicited and unsolicited real time communicationsArticle 8A Interpretation: outgoing electronic commerce communicationsArticle 9 Degree of prominence to be given to required indicationsArticle 10 Application to qualifying contracts of insuranceArticle 11 Combination of different exemptionsPart IV Exempt Communications: All Controlled Activities (arts. 12-20B)Article 12 Communications to overseas recipientsArticle 13 Communications from customers and potential customersArticle 14 Follow up non-real time communications and solicited real time communicationsArticle 15 IntroductionsArticle 16 Exempt personsArticle 17 Generic promotionsArticle 18 Mere conduitsArticle 18A Electronic commerce communications: mere conduits, caching and hostingArticle 19 Investment professionalsArticle 20 Communications by journalistsArticle 20A Promotion broadcast by company director etc.Article 20B Incoming electronic commerce communicationsPart V Exempt Communications: Deposits and Insurance (arts. 21-26)Article 21 Interpretation: relevant insurance activityArticle 22 Deposits: non-real time communicationsArticle 23 Deposits: real time communicationsArticle 24 Relevant insurance activity: non-real time communicationsArticle 25 Relevant insurance activity: non-real time communications: reinsurance and large risksArticle 26 Relevant insurance activity: real time communicationPart VI Exempt Communications: Certain Controlled Activities (arts. 27-73)Article 27 Application of exemptions in this PartArticle 28 One off non-real time communications and solicited real time communicationsArticle 28A One off unsolicited real time communicationsArticle 28B Real time communications: introductions in connection with qualifying creditArticle 29 Communications required or authorised by enactmentsArticle 30 Overseas communicators: solicited real time communicationsArticle 31 Overseas communicators: non-real time communications to previously overseas customersArticle 32 Overseas communicators: unsolicited real time communications to previously overseas customersArticle 33 Overseas communicators: unsolicited real time communications to knowledgeable customersArticle 34 Governments, central banks etc.Article 35 Industrial and provident societiesArticle 36 Nationals of EEA States other than United KingdomArticle 37 Financial marketsArticle 38 Persons in the business of placing promotional materialArticle 39 Joint enterprisesArticle 40 Participants in certain recognised collective investment schemesArticle 41 Bearer instruments: promotions required or permitted by market rulesArticle 42 Bearer instruments: promotions to existing holdersArticle 43 Members and creditors of certain bodies corporateArticle 44 Members and creditors of open-ended investment companiesArticle 45 Group companiesArticle 46 Qualifying credit to bodies corporateArticle 47 Persons in the business of disseminating informationArticle 48 Certified high net worth individualsArticle 49 High net worth companies, unincorporated associations etc.Article 50 Sophisticated investorsArticle 50A Self-certified sophisticated investorsArticle 51 Associations of high net worth or sophisticated investorsArticle 52 Common interest group of a companyArticle 53 Settlors, trustees and personal representativesArticle 54 Beneficiaries of trust, will or intestacyArticle 55 Communications by members of professionsArticle 56 Remedy following report by Parliamentary Commissioner for AdministrationArticle 57 Persons placing promotional material in particular publicationsArticle 58 Acquisition of interest in premises run by management companiesArticle 59 Annual accounts and directors' reportArticle 60 Participation in employee share schemesArticle 61 Sale of goods and supply of servicesArticle 62 Sale of body corporateArticle 63 Takeovers of relevant unlisted companies: interpretationArticle 64 Takeovers of relevant unlisted companiesArticle 65 Takeovers of relevant unlisted companies: warrants etc.Article 66 Takeovers of relevant unlisted companies: application formsArticle 67 Promotions required or permitted by market rulesArticle 68 Promotions in connection with admission to certain EEA marketsArticle 69 Promotions of securities already admitted to certain marketsArticle 70 Promotions in connection with listing applicationsArticle 71 Promotions included in listing particulars etc.Article 72 Promotions included in prospectus for public offer of unlisted securitiesArticle 73 Material relating to prospectus for public offer of unlisted securitiesArticle 55A Non-real time communication by members of professionsPart VII Transitional Provision (art. 74)Article 74 Approval of communication prior to Order coming into forceSchedule 1 Controlled Activities and Controlled InvestmentsSchedule 1, Part I Controlled Activities (paras. 1-11)Schedule 1, Part II Controlled Investments (paras. 12-28)Schedule 2 Countries and TerritoriesSchedule 3 Markets and ExchangesSchedule 3, Part I Criteria for relevant EEA marketsSchedule 3, Part II Certain Investment Exchanges Operating Relevant EEA Markets and Certain Relevant EEA MarketsSchedule 3, Part III Certain non-EEA investment exchanges operating relevant marketsSchedule 3, Part IV Other Relevant MarketsSchedule 4 Takeovers of Relevant Unlisted CompaniesSchedule 4, Part I Requirements Relating to the OfferSchedule 4, Part II Accompanying MaterialSchedule 4, Part III Additional Material Available for InspectionSchedule 5 Statements for certified high net worth individuals and self-certified sophisticatedSchedule 5, Part I Statement for certified high net worth individuals (para. 1)Schedule 5, Part II Statement for self-certified sophisticated investors (para. 2)SignatureExplanatory Note
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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Published date: 2 April 2001

Financial Services and Markets Act 2000 (Financial Promotion) Order 2001 [SI 2001 No. 1335]

Introductory Text
Part I Citation, Commencement and Interpretation (arts. 1-3)
Article 1 Citation and commencement
Article 2 Interpretation: general
Article 3 Interpretation: unlisted companies
Part II Controlled Activities and Controlled Investments (art. 4)
Article 4 Definition of controlled activities and controlled investments
Part III Exemptions: Interpretation and Application (arts. 5-11)
Article 5 Interpretation: financial promotion restriction
Article 6 Interpretation: communications
Article 7 Interpretation: real time communications
Article 8 Interpretation: solicited and unsolicited real time communications
Article 8A Interpretation: outgoing electronic commerce communications
Article 9 Degree of prominence to be given to required indications
Article 10 Application to qualifying contracts of insurance
Article 11 Combination of different exemptions
Part IV Exempt Communications: All Controlled Activities (arts. 12-20B)
Article 12 Communications to overseas recipients
Article 13 Communications from customers and potential customers
Article 14 Follow up non-real time communications and solicited real time communications
Article 15 Introductions
Article 16 Exempt persons
Article 17 Generic promotions
Article 18 Mere conduits
Article 18A Electronic commerce communications: mere conduits, caching and hosting
Article 19 Investment professionals
Article 20 Communications by journalists
Article 20A Promotion broadcast by company director etc.
Article 20B Incoming electronic commerce communications
Part V Exempt Communications: Deposits and Insurance (arts. 21-26)
Article 21 Interpretation: relevant insurance activity
Article 22 Deposits: non-real time communications
Article 23 Deposits: real time communications
Article 24 Relevant insurance activity: non-real time communications
Article 25 Relevant insurance activity: non-real time communications: reinsurance and large risks
Article 26 Relevant insurance activity: real time communication
Part VI Exempt Communications: Certain Controlled Activities (arts. 27-73)
Article 27 Application of exemptions in this Part
Article 28 One off non-real time communications and solicited real time communications
Article 28A One off unsolicited real time communications
Article 28B Real time communications: introductions in connection with qualifying credit
Article 29 Communications required or authorised by enactments
Article 30 Overseas communicators: solicited real time communications
Article 31 Overseas communicators: non-real time communications to previously overseas customers
Article 32 Overseas communicators: unsolicited real time communications to previously overseas customers
Article 33 Overseas communicators: unsolicited real time communications to knowledgeable customers
Article 34 Governments, central banks etc.
Article 35 Industrial and provident societies
Article 36 Nationals of EEA States other than United Kingdom
Article 37 Financial markets
Article 38 Persons in the business of placing promotional material
Article 39 Joint enterprises
Article 40 Participants in certain recognised collective investment schemes
Article 41 Bearer instruments: promotions required or permitted by market rules
Article 42 Bearer instruments: promotions to existing holders
Article 43 Members and creditors of certain bodies corporate
Article 44 Members and creditors of open-ended investment companies
Article 45 Group companies
Article 46 Qualifying credit to bodies corporate
Article 47 Persons in the business of disseminating information
Article 48 Certified high net worth individuals
Article 49 High net worth companies, unincorporated associations etc.
Article 50 Sophisticated investors
Article 50A Self-certified sophisticated investors
Article 51 Associations of high net worth or sophisticated investors
Article 52 Common interest group of a company
Article 53 Settlors, trustees and personal representatives
Article 54 Beneficiaries of trust, will or intestacy
Article 55 Communications by members of professions
Article 56 Remedy following report by Parliamentary Commissioner for Administration
Article 57 Persons placing promotional material in particular publications
Article 58 Acquisition of interest in premises run by management companies
Article 59 Annual accounts and directors' report
Article 60 Participation in employee share schemes
Article 61 Sale of goods and supply of services
Article 62 Sale of body corporate
Article 63 Takeovers of relevant unlisted companies: interpretation
Article 64 Takeovers of relevant unlisted companies
Article 65 Takeovers of relevant unlisted companies: warrants etc.
Article 66 Takeovers of relevant unlisted companies: application forms
Article 67 Promotions required or permitted by market rules
Article 68 Promotions in connection with admission to certain EEA markets
Article 69 Promotions of securities already admitted to certain markets
Article 70 Promotions in connection with listing applications
Article 71 Promotions included in listing particulars etc.
Article 72 Promotions included in prospectus for public offer of unlisted securities
Article 73 Material relating to prospectus for public offer of unlisted securities
Article 55A Non-real time communication by members of professions
Part VII Transitional Provision (art. 74)
Article 74 Approval of communication prior to Order coming into force
Schedule 1 Controlled Activities and Controlled Investments
Schedule 1, Part I Controlled Activities (paras. 1-11)
Schedule 1, Part II Controlled Investments (paras. 12-28)
Schedule 2 Countries and Territories
Schedule 3 Markets and Exchanges
Schedule 3, Part I Criteria for relevant EEA markets
Schedule 3, Part II Certain Investment Exchanges Operating Relevant EEA Markets and Certain Relevant EEA Markets
Schedule 3, Part III Certain non-EEA investment exchanges operating relevant markets
Schedule 3, Part IV Other Relevant Markets
Schedule 4 Takeovers of Relevant Unlisted Companies
Schedule 4, Part I Requirements Relating to the Offer
Schedule 4, Part II Accompanying Material
Schedule 4, Part III Additional Material Available for Inspection
Schedule 5 Statements for certified high net worth individuals and self-certified sophisticated
Schedule 5, Part I Statement for certified high net worth individuals (para. 1)
Schedule 5, Part II Statement for self-certified sophisticated investors (para. 2)
Signature
Explanatory Note
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