1. UK Financial Services Law
  2. Legislation (UK)
  3. Statutory Instruments
  4. 2007
Date-stamp loading
  1. Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 [SI 2007 No. 126]
Next
Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Published date: 24 January 2007

Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 [SI 2007 No. 126]

Consolidation Status: Updated to reflect all known changes
Comparing proposed amendment...
Introductory Text
Part 1 General (regs. 1-3)
Revoked
 Regulation 1 Citation and commencement
Revoked
 Regulation 2 Interpretation
Revoked
 Regulation 3 Amendments of primary and secondary legislation
Part 2 Part 4A Permission: investment firms (regs. 4-4C)
Revoked
 Regulation 4 General restriction on giving Part 4A permission
Revoked
 Regulation 4A Applications to be an exempt investment firm
Revoked
 Regulation 4B Limitation on exempt investment firms
Revoked
 Regulation 4C Requirements to be applied to exempt investment firms
Part 3 Transitional and saving provisions (regs. 5-10)
Revoked
 Regulation 5 Transitional and saving provisions: market operators
Revoked
 Regulation 6 Transitional and saving provisions: EEA firms
Revoked
 Regulation 6A Transitional provisions: EEA investment firms exercising passport rights under the investment services directive
Revoked
 Regulation 7 Transitional provisions: UK investment firms exercising passport rights under the investment services directive
Revoked
 Regulation 7A Transitional provision: investment research and financial analysis
Revoked
 Regulation 8 Additional saving provision: UK investment firms
Revoked
 Regulation 9 Transitional provision: appointed representatives and tied agents
Revoked
 Regulation 9A Transitional provision: exempt investment firms
Revoked
 Regulation 9B Transitional provision: operators of alternative trading systems
Revoked
 Regulation 9C Transitional provision for investment firms and credit institutions in relation to options, futures and contracts for differences
Revoked
 Regulation 9D Transitional provision for management companies in relation to options, futures and contracts for differences
Revoked
 Regulation 9E Transitional provision in relation to client classification
Revoked
 Regulation 10 Interpretation of Part 3
Revoked
 Schedule 1 Amendments of Part 13 of the Act
Revoked
 Schedule 2 Amendments of Part 18 of the Act
Revoked
 Schedule 3 Part 18A of the Act
Revoked
 Schedule 4 Amendments of Schedule 3 to the Act
Revoked
 Schedule 5 Other amendments of the Act
Schedule 6 Consequential amendments of other Enactments
Revoked
 Schedule 6, Part 1 Amendments of primary legislation
Revoked
 Schedule 6, Part 2 Amendments of secondary legislation
Revoked
 Schedule 7 Exercise of Passport Rights under the Investment Services Directive
Revoked
 Schedule 8 Transitional Provision For Part 4A Permissions
Revoked
 Schedule 9 Transitional Provision In Relation To Client Classification
Signature
Explanatory Note
Explanatory Memorandum
Next