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Chapter 1 Part 1A of the Act: the regulators (regs. 2-10) |
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Regulation 2 Introduction |
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Regulation 3 Section 1A (the Financial Conduct Authority) |
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Regulation 4 Section 1H (further interpretative provisions for sections 1B to 1G) |
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Regulation 5 Section 1L (supervision, monitoring and enforcement) |
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Regulation 6 Section 2AB (functions of the PRA) |
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Regulation 7 Section 3E (memorandum of understanding) |
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Regulation 8 Section 3I (power of PRA to require FCA to refrain from specified action) |
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Regulation 9 Section 3J (power of PRA in relation to with-profits policies) |
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Regulation 10 Section 3M (directions relating to consolidated supervision of groups) |
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Chapter 2 Part 3 of the Act: authorisation and exemption (regs. 11-13) |
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Regulation 11 Introduction |
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Regulation 12 Section 39 (exemption of appointed representatives) |
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Regulation 13 Section 39A (certain tied agents operating outside United Kingdom) |
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Chapter 3 Part 4A of the Act: permission to carry on regulated activities (regs. 14-23) |
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Regulation 14 Introduction |
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Regulation 15 Section 55D (application for permission) |
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Regulation 16 Section 55J (variation and cancellation of Part 4A permission: general) |
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Regulation 17 Section 55K (variation and cancellation of Part 4A permission: investment firms) |
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Regulation 18 Section 55KA (variation and cancellation of Part 4A permission: insurance undertakings etc.) |
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Regulation 19 Section 55PA (imposition and variation of requirements) |
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Regulation 20 Section 55Q (exercise of power in support of overseas regulator) |
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Regulation 21 Section 55R (connected persons) |
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Regulation 22 Section 55S (additional permissions) |
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Regulation 23 Sections 55Z1 to 55Z2A (notification) |
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Chapter 4 Part 5 of the Act: performance of regulated activities (regs. 24-30) |
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Regulation 24 Introduction |
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Regulation 25 Section 59 (approval for particular arrangements) |
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Regulation 26 Section 63E (certification of employees by relevant authorised persons) |
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Regulation 27 Section 66A (misconduct: action by the FCA) |
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Regulation 28 Section 66B (misconduct: action by the PRA) |
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Regulation 29 Section 71D (sections 71B and 71C: conditions) |
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Regulation 30 Section 71I (sections 71B to 71H: interpretation) |
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Chapter 5 Part 7 of the Act: control of business transfers (regs. 31-33) |
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Regulation 31 Introduction |
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Regulation 32 Section 105 (insurance business transfer schemes) |
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Regulation 33 Further amendments to Part 7 of the Act |
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Chapter 6 Part 9A of the Act: rules and guidance (regs. 34-41) |
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Regulation 34 Introduction |
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Regulation 35 Section 137J (rules about recovery plans: duty to consult) |
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Regulation 36 Section 137N (recovery plans and resolution packs: restriction on duty of confidence) |
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Regulation 37 Section 137Q (price stabilising rules) |
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Regulation 38 Section 137R (financial promotion rules) |
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Regulation 39 Section 138K (consultation: mutual societies) |
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Regulation 40 Section 139A (power of the FCA to give guidance) |
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Regulation 41 Section 141A (power to make consequential amendments of references to rules etc) |
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Chapter 7 Part 11 of the Act: information gathering and investigations (regs. 42-47) |
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Regulation 42 Introduction |
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Regulation 43 Section 165A (PRA's power to require information: financial stability) |
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Regulation 44 Section 167 (appointment of persons to carry out general investigations) |
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Regulation 45 Section 168 (appointment of persons to carry out investigations in particular cases) |
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Regulation 46 Section 169 (investigations etc. in support of overseas regulator) |
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Regulation 47 Section 169A (support of overseas regulator with respect to financial stability) |
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Chapter 8 Part 12 of the Act: control over authorised persons (regs. 48-56) |
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Regulation 48 Introduction |
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Regulation 49 Section 184 (disregarded holdings) |
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Regulation 50 Section 186 (assessment criteria) |
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Regulation 51 Section 188 (assessment: consultation with EC competent authorities) |
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Regulation 52 Section 189 (assessment: procedure) |
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Regulation 53 Section 190 (requests for further information) |
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Regulation 54 Section 190A (assessment and resolution) |
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Regulation 55 Section 191A (objection by the appropriate regulator) |
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Regulation 56 Section 191G (interpretation of Part 12) |
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Chapter 9 Part 12A of the Act: powers exercisable in relation to parent undertakings (regs. 57-60) |
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Regulation 57 Introduction |
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Regulation 58 Section 192C (power to direct qualifying parent undertaking) |
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Regulation 59 Section 192JB (rules requiring parent undertakings to facilitate resolution) |
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Regulation 60 Section 192K (power to impose penalty or issue censure) |
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Chapter 10 Part 14 of the Act: disciplinary measures (reg. 61) |
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Regulation 61 Section 204A (meaning of "relevant requirement" etc.) |
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Chapter 11 Part 20 of the Act: provision of financial services by members of the professions (regs. 62-65) |
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Regulation 62 Introduction |
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Regulation 63 Section 326 (designation of professional bodies) |
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Regulation 64 Section 327 (exemption from the general prohibition) |
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Regulation 65 Section 328 (directions in relation to the general prohibition) |
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Chapter 12 Part 22 of the Act: auditors and actuaries (regs. 66-68) |
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Regulation 66 Introduction |
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Regulation 67 Section 342 (information given by auditor or actuary to a regulator) |
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Regulation 68 Section 343 (information given by auditor or actuary to a regulator: persons with close links) |
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Chapter 13 Part 25 of the Act: injunctions and restitution (regs. 69-72) |
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Regulation 69 Introduction |
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Regulation 70 Section 380 (injunctions) |
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Regulation 71 Section 382 (restitution orders) |
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Regulation 72 Section 384 (power of FCA or PRA to require restitution) |
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Chapter 14 Part 26 of the Act: notices (regs. 73-79) |
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Regulation 73 Introduction |
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Regulation 74 Section 391 (publication) |
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Regulation 75 Section 391A (publication: special requirements relating to capital requirements directive) |
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Regulation 76 Section 391B (publication: special provisions relating to the transparency obligations directive) |
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Regulation 77 Section 391C (publication: special provisions relating to the UCITS directive) |
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Regulation 78 Section 391D (publication: special provisions relating to the markets in financial instruments directive) |
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Regulation 79 Section 391E (publication: special provisions relating to the insurance distribution directive) |
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Chapter 15 Part 27 of the Act: offences (reg. 80) |
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Regulation 80 Section 398 (misleading FCA or PRA: residual cases) |
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Chapter 16 Part 28 of the Act: miscellaneous (regs. 81-83) |
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Regulation 81 Introduction |
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Regulation 82 Section 404E (meaning of "consumers") |
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Regulation 83 Section 410 (international obligations) |
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Chapter 17 Part 29 of the Act: interpretation of the Act (regs. 84-92) |
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Regulation 84 Introduction |
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Regulation 85 Section 417 (definitions) |
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Regulation 86 Section 418 (carrying on regulated activities in the United Kingdom) |
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Regulation 87 Section 420 (parent and subsidiary undertaking) |
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Regulation 88 Section 422A (disregarded holdings) |
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Regulation 89 Mortgage agreements etc |
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Regulation 90 Section 424A (meaning of "investment firm") |
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Regulation 91 Section 425A (consumers: regulated activities etc carried on by authorised persons) |
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Regulation 92 Section 425C ("qualifying EU provision") |
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Chapter 18 Schedule 1ZA to the Act: the Financial Conduct Authority (reg. 93) |
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Regulation 93 Schedule 1ZA (the Financial Conduct Authority) |
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Chapter 19 Schedule 1ZB to the Act: the Prudential Regulation Authority (reg. 94) |
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Regulation 94 Schedule 1ZB (the Prudential Regulation Authority) |
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Chapter 20 Schedule 2 to the Act: regulated activities (reg. 95) |
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Regulation 95 Schedule 2 (regulated activities) |
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Chapter 21 Schedule 6 to the Act: threshold conditions (regs. 96-103) |
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Regulation 96 Introduction |
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Regulation 97 Interpretation |
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Regulation 98 Paragraph 2C (effective supervision) |
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Regulation 99 Paragraph 3B (effective supervision) |
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Regulation 100 Paragraph 4A (introduction to Part 1D) |
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Regulation 101 Paragraph 4F (effective supervision) |
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Regulation 102 Paragraph 5F (effective supervision) |
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Regulation 103 Paragraph 8 (additional conditions) |
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Chapter 22 Schedule 12 to the Act: transfer schemes: certificates (regs. 104-114) |
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Regulation 104 Introduction |
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Regulation 105 Paragraph 1 (insurance business transfer schemes) |
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Regulation 106 Paragraph 2 (certificates as to margin of solvency) |
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Regulation 107 Paragraphs 3 to 6 (further provisions on certificates) |
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Regulation 108 Paragraph 7 (banking business transfer schemes) |
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Regulation 109 Paragraph 8 (certificates as to financial resources) |
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Regulation 110 Paragraph 9 (certificates as to consent of home state regulator) |
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Regulation 111 Paragraph 9B (ring-fencing transfer schemes) |
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Regulation 112 Paragraph 9C (certificate as to financial resources) |
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Regulation 113 Paragraph 9D (certificate as to consent of home state regulator) |
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Regulation 114 Paragraph 10 (insurance business transfers effected outside the United Kingdom) |
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Chapter 23 Schedule 17A to the Act: further provisions in relation to exercise of Part 18 functions by Bank of England (regs. 115-119) |
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Regulation 115 Introduction |
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Regulation 116 Paragraph 11 (information gathering and investigations) |
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Regulation 117 Paragraphs 22 and 23 (public record and disclosure of information) |
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Regulation 118 Paragraph 30 (offences) |
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Regulation 119 Paragraph 36 (fees) |
