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Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 [SI 2007 No. 126]Introductory TextPart 1 General (regs. 1-3)Regulation 1 Citation and commencementRegulation 2 InterpretationRegulation 3 Amendments of primary and secondary legislationPart 2 Part 4A Permission: investment firms (regs. 4-4C)Regulation 4 General restriction on giving Part 4A permissionRegulation 4A Applications to be an exempt investment firmRegulation 4B Limitation on exempt investment firmsRegulation 4C Requirements to be applied to exempt investment firmsPart 3 Transitional and saving provisions (regs. 5-10)Regulation 5 Transitional and saving provisions: market operatorsRegulation 6 Transitional and saving provisions: EEA firmsRegulation 6A Transitional provisions: EEA investment firms exercising passport rights under the investment services directiveRegulation 7 Transitional provisions: UK investment firms exercising passport rights under the investment services directiveRegulation 7A Transitional provision: investment research and financial analysisRegulation 8 Additional saving provision: UK investment firmsRegulation 9 Transitional provision: appointed representatives and tied agentsRegulation 9A Transitional provision: exempt investment firmsRegulation 9B Transitional provision: operators of alternative trading systemsRegulation 9C Transitional provision for investment firms and credit institutions in relation to options, futures and contracts for differencesRegulation 9D Transitional provision for management companies in relation to options, futures and contracts for differencesRegulation 9E Transitional provision in relation to client classificationRegulation 10 Interpretation of Part 3Schedule 1 Amendments of Part 13 of the ActSchedule 2 Amendments of Part 18 of the ActSchedule 3 Part 18A of the ActSchedule 4 Amendments of Schedule 3 to the ActSchedule 5 Other amendments of the ActSchedule 6 Consequential amendments of other EnactmentsSchedule 6, Part 1 Amendments of primary legislationSchedule 6, Part 2 Amendments of secondary legislationSchedule 7 Exercise of Passport Rights under the Investment Services DirectiveSchedule 8 Transitional Provision For Part 4A PermissionsSchedule 9 Transitional Provision In Relation To Client ClassificationSignatureExplanatory NoteExplanatory Memorandum
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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
Version 6 of 6

Regulation 4C Requirements to be applied to exempt investment firms

Revoked from 3 January 2018

[deleted]

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