Contents
- Part I The Regulator5 changes
- Part 1A The Regulators47 changes
- Part II Regulated And Prohibited Activities49 changes
- Part III Authorisation and Exemption11 changes
- Part IV Permission to Carry on Regulated Activities64 changes
- Part 4A Permission to carry on regulated activities59 changes
- Part V Performance of Regulated Activities90 changes
- Part 5A Designated activities7 changes
- Part VI Official Listing97 changes
- Part VII Control of Business Transfers24 changes
- Part 7A Unilateral changes to pension schemes1 change
- Part VIII Provisions relating to market abuse21 changes
- Part 8A Short selling8 changes
- Part 8B Cash access services1 change
- Part IX Hearings and Appeals89 changes
- Part 9A Rules and Guidance218 changes
- Part 9B Ring-fencing2 changes
- Part 9C Prudential regulation of FCA investment firms4 changes
- Part 9D Prudential regulation of credit institutions etc8 changes
- Part X Rules and Guidance44 changes
- Part XI Information Gathering and Investigations195 changes
- Part XII Control Over Authorised Persons24 changes
- Part 12A Powers exercisable in relation to parent undertakings1 change
- Part 12B Approval of certain holding companies6 changes
- Part XIII Incoming Firms: Intervention by FCA or PRA49 changes
- Part 13A Enhanced supervision of firms exercising rights under the Insurance Distribution Directive2 changes
- Part XIV Disciplinary Measures111 changes
- Part XV The Financial Services Compensation Scheme54 changes
- Part 15A Power to require FSCS manager to act in relation to other schemes1 change
- Part XVI The Ombudsman Scheme36 changes
- Part 16A Consumer protection and competition4 changes
- Part XVII Collective Investment Schemes61 changes
- Part 17A Transformer Vehicles1 change
- Part XVIII Recognised investment exchanges, clearing houses , CSDs and other parties85 changes
- Part 18A Suspension and removal of financial instruments from trading14 changes
- Part XIX Lloyd’s4 changes
- Part XX Provision of Financial Services by Members of the Professions9 changes
- Part 20A Pensions guidance7 changes
- Part 20B Illegal Money Lending1 change
- Part XXI Mutual Societies5 changes
- Part XXII Auditors and Actuaries32 changes
- Part XXIII Public Record, Disclosure of Information and Co-operation129 changes
- Part XXIV Insolvency73 changes
- Part XXV Injunctions and Restitution55 changes
- Part XXVI Notices156 changes
- Part XXVII Offences98 changes
- Part XXVIII Miscellaneous62 changes
- Part XXIX Interpretation25 changes
- Part XXX Supplemental1 change
- Schedule 1 The Financial Services Authority24 changes
- Schedule 1A Further provision about the consumer financial education body15 changes
- Schedule 1ZA The Financial Conduct Authority69 changes
- Schedule 1ZB The Prudential Regulation Authority17 changes
- Schedule 2 Regulated Activities28 changes
- Schedule 2A Gibraltar-based persons carrying on activities in the UK2 changes
- Schedule 3 EEA Passport Rights77 changes
- Schedule 4 Treaty Rights5 changes
- Schedule 5 Persons Concerned in Collective Investment Schemes
- Schedule 6 Threshold Conditions8 changes
- Schedule 6A Variation or cancellation of Part 4A permission on initiative of FCA: additional power1 change
- Schedule 6B Designated activities1 change
- Schedule 6C Listed designated activity regulations and requirements for purposes of certain provisions5 changes
- Schedule 7 1 change
- Schedule 8 1 change
- Schedule 9 1 change
- Schedule 10 Compensation: Exemptions2 changes
- Schedule 10A Liability of issuers in connection with published information1 change
- Schedule 11 3 changes
- Schedule 11A Transferable securities6 changes
- Schedule 11B Connected persons2 changes
- Schedule 12 Transfer schemes: certificates28 changes
- Schedule 13 10 changes
- Schedule 14 Role of the Competition Commission3 changes
- Schedule 15 Information and Investigations: Connected Persons7 changes
- Schedule 16 Prohibitions and Restrictions imposed by OFFICE OF FAIR TRADING5 changes
- Schedule 17 The Ombudsman Scheme43 changes
- Schedule 17A Further provision in relation to exercise of Part 18 functions , or other FMI functions, by Bank of England33 changes
- Schedule 18 Mutuals1 change
- Schedule 19 1 change
- Schedule 19A The manager of a write-down order1 change
- Schedule 19B Further provision about write-down orders1 change
- Schedule 19C Insurers in financial difficulties: enforcement of contracts1 change
- Schedule 20 Minor and Consequential Amendments1 change
- Schedule 21 Transitional Provisions and Savings
- Schedule 22 Repeals1 change
Contents
23,111 provisions, too many to show on one page. Open a part or section to read it with its history and connections, or search inside the text.
- Part I · The Regulator
- Part 1A · The Regulators
- Part II · Regulated And Prohibited Activities
- Part III · Authorisation and Exemption
- Part IV · Permission to Carry on Regulated Activities
- Part 4A · Permission to carry on regulated activities
- Interpretation
- Notification
- Procedure
- Additional permissions
- Application for permission
- Connected persons
- Exercise of power in support of overseas regulator
- Imposition and variation of requirements
- Persons whose interests are protected
- References to the Tribunal
- Variation and cancellation of Part 4A permission
- Part V · Performance of Regulated Activities
- Part 5A · Designated activities
- Part VI · Official Listing
- Compensation for false or misleading statements etc
- Competition
- Listing
- Miscellaneous
- Passporting
- Penalties
- Contravention of prohibition relating to public offer of securities
- Rules
- Sponsors
- Approval of prospectus
- Corporate governance
- Final terms
- Interpretative provisions
- Listing particulars
- Power of FCA to call for information
- Powers exercisable in case of infringement of transparency obligation
- Primary information providers
- Registered investors
- Rights of investors
- Supplementary prospectus
- ...
- The official list
- Transfer of application for approval of a prospectus
- Transferable securities: powers of FCA
- Transparency obligations
- Part VII · Control of Business Transfers
- 103A Meaning of “the appropriate regulator”
- 104 Control of business transfers.
- 105 Insurance business transfer schemes.
- 106 Banking business transfer schemes.
- 106A Reclaim fund business transfer scheme
- 106B Ring-fencing transfer scheme
- 107 Application for order sanctioning transfer scheme.
- 108 Requirements on applicants.
- 109 Scheme reports: insurance business transfer schemes
- 109A Scheme reports: ring-fencing transfer schemes
- 110 Right to participate in proceedings.
- 111 Sanction of the court for business transfer schemes.
- 112 Effect of order sanctioning business transfer scheme.
- 112A Rights to terminate etc.
- 112ZA Duty of regulator to provide copy of order
- 113 Appointment of actuary in relation to reduction of benefits.
- 114 Rights of certain policyholders.
- 114A Notice of transfer of reinsurance contracts
- Modifications
- Business transfers outside the United Kingdom
- Part 7A · Unilateral changes to pension schemes
- 117A Pension schemes to which this Part applies
- 117B Unilateral changes
- 117C Effect of transfer of pension pot on membership of scheme etc
- 117D Best interests test
- 117E Certification by independent person
- 117F Unilateral change notice
- 117G Further duties to make FCA general rules
- 117H Treasury regulations
- 117I Interpretation of Part
- Part VIII · Provisions relating to market abuse
- Part 8A · Short selling
- Part 8B · Cash access services
- Part IX · Hearings and Appeals
- Part 9A · Rules and Guidance
- Part 9B · Ring-fencing
- Part 9C · Prudential regulation of FCA investment firms
- Part 9D · Prudential regulation of credit institutions etc
- Part X · Rules and Guidance
- Part XI · Information Gathering and Investigations
- Part XII · Control Over Authorised Persons
- Part 12A · Powers exercisable in relation to parent undertakings
- Part 12B · Approval of certain holding companies
- Part XIII · Incoming Firms: Intervention by FCA or PRA
- Part 13A · Enhanced supervision of firms exercising rights under the Insurance Distribution Directive
- 203A Insurance distribution directive: enhanced supervision of EEA firms by UK regulators
- 203B Insurance distribution directive: enhanced supervision of UK firms by an EEA regulator
- 203C Modification or waiver of rules where firm subject to enhanced supervision
- 203D Publication of directions under section 203C
- Part XIV · Disciplinary Measures
- 204A Meaning of “relevant requirement” and “appropriate regulator”
- 205 Public censure.
- 206 Financial penalties.
- 206A Suspending permission to carry on regulated activities etc
- 206B Prohibition or restriction on carrying on of relevant designated activities
- 207 Proposal to take disciplinary measures.
- 208 Decision notice.
- 208A Applications under section 206B(4): procedure and right to refer to Tribunal
- 209 Publication.
- 210 Statements of policy.
- 211 Statements of policy: procedure.
- Part XV · The Financial Services Compensation Scheme
- Part 15A · Power to require FSCS manager to act in relation to other schemes
- Part XVI · The Ombudsman Scheme
- Part 16A · Consumer protection and competition
- Part XVII · Collective Investment Schemes
- Chapter I Interpretation
- Chapter II Restrictions on Promotion
- Chapter 2A Prohibition on issue of bearer units
- Chapter III Authorised Unit Trust Schemes
- Chapter 3A Authorised contractual schemes
- Chapter 3B Unauthorised co-ownership AIFs
- Chapter IV Open-ended Investment Companies
- Chapter V Recognised Overseas Schemes
- Chapter 5A Master-feeder structures
- Chapter VI Investigations
- Part 17A · Transformer Vehicles
- Part XVIII · Recognised investment exchanges, clearing houses , CSDs and other parties
- Chapter I Exemption
- Chapter 1A Control over recognised investment exchange
- Chapter II Competition Scrutiny
- Chapter 2A Performance of functions of recognised bodies
- Chapter III Exclusion from the Competition Act 1998
- Chapter 3A Passport rights
- Chapter 3B Disciplinary measures in respect of recognised bodies
- Chapter 3C Critical third parties
- Chapter IV
- Part 18A · Suspension and removal of financial instruments from trading
- 313A FCA's power to require suspension or removal of financial instruments from trading
- 313B Suspension or removal of financial instruments from trading: procedure
- 313BA Procedure following consideration of representations
- 313BB Revocation of requirements: applications by institutions
- 313BC Decisions on applications for revocation by institutions
- 313BD Revocation of requirements: applications by issuers
- 313BE Decisions on applications for revocation by issuers
- 313C Notification in relation to suspension or removal of a financial instrument from trading
- 313CA Suspension or removal of financial instruments from trading: notification and trading on other venues
- 313CB Suspension or removal of a financial instrument from a trading by a trading venue: FCA duties
- 313CBA Significant damage to investors’ interests or orderly functioning of market
- 313CC Suspension or removal of a financial instrument from trading in another EEA state: FCA duties
- 313D Interpretation of Part 18A
- Part XIX · Lloyd’s
- Part XX · Provision of Financial Services by Members of the Professions
- 325 FCA's general duty.
- 326 Designation of professional bodies.
- 327 Exemption from the general prohibition.
- 328 Directions in relation to the general prohibition.
- 329 Orders in relation to the general prohibition.
- 330 Consultation.
- 331 Procedure on making or varying orders under section 329.
- 332 Rules in relation to persons to whom the general prohibition does not apply.
- 333 False claims to be a person to whom the general prohibition does not apply.
- Part 20A · Pensions guidance
- 333A Introduction and definitions
- Co-operation and information sharing
- Designation of guidance providers
- False claims when giving pensions guidance
- FCA's duties and power to give guidance
- Funding of pensions guidance
- Giving of pensions guidance
- Standards for giving of pensions guidance by designated guidance providers
- Part 20B · Illegal Money Lending
- Part XXI · Mutual Societies
- Part XXII · Auditors and Actuaries
- Part XXIII · Public Record, Disclosure of Information and Co-operation
- Part XXIV · Insolvency
- Part XXV · Injunctions and Restitution
- Part XXVI · Notices
- Part XXVII · Offences
- Part XXVIII · Miscellaneous
- Consultation and co-operation
- Jurisdiction
- Fees to meet Treasury expenses
- Gaming contracts
- International powers and obligations
- Limitation on powers to require documents
- Powers under the Act
- Removal of certain unnecessary provisions
- Consumer redress schemes
- Service of notices
- Sustainability disclosure requirements
- Tax treatment of levies and repayments
- Third countries
- Trade-matching and reporting systems
- Part XXIX · Interpretation
- 417 Definitions.
- 418 Carrying on regulated activities in the United Kingdom.
- 419 Carrying on regulated activities by way of business.
- 419A Claims management services
- 419B Carrying on claims management activity in Great Britain
- 420 Parent and subsidiary undertaking.
- 421 Group.
- 421A Meaning of “participating interest”
- 421ZA Immediate group
- 422 Controller.
- 422A Disregarded holdings
- 423 Manager.
- 423A Mortgage agreements etc
- 424 Insurance.
- 424A Investment firm
- 425 Expressions relating to authorisation ... in the single market.
- 425A Consumers: regulated activities etc carried on by authorised persons
- 425B Consumers: regulated activities carried on by others
- 425C “Qualifying provision”
- Part XXX · Supplemental
- Schedule 1 · The Financial Services Authority
- Schedule 1A · Further provision about the consumer financial education body
- Schedule 1ZA · The Financial Conduct Authority
- Schedule 1ZB · The Prudential Regulation Authority
- Schedule 2 · Regulated Activities
- Schedule 2A · Gibraltar-based persons carrying on activities in the UK
- Part 1 Interpretation etc
- Part 2 Approved activities
- Part 3 Permission to carry on an approved activity
- Part 4 Variation of permission
- Part 5 Cancellation of permission
- Part 6 Requirements
- Part 7 Changes
- Part 8 UK regulators' directions about information
- Part 9 Transition on withdrawal of approval of regulated activity etc
- Part 10 Transition on cancellation of UK or Gibraltar permission
- Part 11 Policy statements
- Part 12 Consultation etc by UK regulators
- Part 13 Co-operation and Assistance
- Part 14 Special cases
- Schedule 3 · EEA Passport Rights
- Schedule 4 · Treaty Rights
- Schedule 5 · Persons Concerned in Collective Investment Schemes
- Schedule 6 · Threshold Conditions
- Part 1 Introduction
- Part 1B Part 4A permission: authorised persons who are not PRA-authorised persons
- Part 1C Part 4A permission: conditions for which FCA is responsible in relation to PRA-authorised persons
- Part 1D Part 4A permission: conditions for which the PRA is responsible in relation to insurers etc.
- Part 1E Part 4A permission: conditions for which the PRA is responsible in relation to other PRA-authorised persons
- Part 1F Authorisation under Schedule 3
- Part 1G Authorisation under Schedule 4
- Part II Authorisation
- Part III Additional Conditions
- Schedule 6A · Variation or cancellation of Part 4A permission on initiative of FCA: additional power
- Schedule 6B · Designated activities
- Schedule 6C · Listed designated activity regulations and requirements for purposes of certain provisions
- Schedule 7
- Schedule 8
- Schedule 9
- Schedule 10 · Compensation: Exemptions
- Schedule 10A · Liability of issuers in connection with published information
- Schedule 11
- The general rule
- Exempt offers
- Offers for business purposes
- Offers to limited numbers
- Clubs and associations
- Restricted circles
- Underwriting agreements
- Offers to public authorities
- Maximum consideration
- Minimum consideration
- Securities denominated in euros
- Takeovers
- Mergers
- Free shares
- Exchange of shares
- Qualifying persons
- Convertible securities
- Charities
- Building societies etc.
- Euro-securities
- Same class securities
- Short date securities
- Government and public securities
- Non-transferable securities
- General definitions
- Schedule 11A · Transferable securities
- Schedule 11B · Connected persons
- Schedule 12 · Transfer schemes: certificates
- Schedule 13
- Schedule 14 · Role of the Competition Commission
- Schedule 15 · Information and Investigations: Connected Persons
- Schedule 16 · Prohibitions and Restrictions imposed by OFFICE OF FAIR TRADING
- Schedule 17 · The Ombudsman Scheme
- Schedule 17A · Further provision in relation to exercise of Part 18 functions , or other FMI functions, by Bank of England
- Schedule 18 · Mutuals
- Schedule 19
- Schedule 19A · The manager of a write-down order
- Schedule 19B · Further provision about write-down orders
- Schedule 19C · Insurers in financial difficulties: enforcement of contracts
- Schedule 20 · Minor and Consequential Amendments
- The House of Commons Disqualification Act 1975 (c. 24)
- The Northern Ireland Assembly Disqualification Act 1975 (c. 25)
- The Civil Jurisdiction and Judgments Act 1982 (c. 27)
- The Income and Corporation Taxes Act 1988 (c. 1)
- The Finance Act 1991 (c. 31)
- The Tribunals and Inquiries Act 1992 (c. 53)
- The Judicial Pensions and Retirement Act 1993 (c. 8)
- Schedule 21 · Transitional Provisions and Savings
- Schedule 22 · Repeals
Contains public sector information licensed under the Open Government Licence v3.0.