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Financial Services and Markets Act 2000
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Changes over time for: Paragraph 21
Version Superseded: 14/01/2005
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Point in time view as at 01/04/2002. This version of this provision has been superseded.
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Financial Services and Markets Act 2000, Paragraph 21 is up to date with all changes known to be in force on or before 07 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Nodiadau Esboniadol
21(1)If a UK firm which is not an authorised person contravenes the prohibition imposed by—
(a)sub-paragraph (1) of paragraph 19, or
(b)sub-paragraph (1) or [F1(4B)] of paragraph 20,
it is guilty of an offence.
(2)A firm guilty of an offence under sub-paragraph (1) is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum; or
(b)on conviction on indictment, to a fine.
(3)In proceedings for an offence under sub-paragraph (1), it is a defence for the firm to show that it took all reasonable precautions and exercised all due diligence to avoid committing the offence.
Textual Amendments
F1Word in Sch. 3 Pt. III para. 21(1)(b) substituted (30.4.2001) by S.I. 2001/1376, regs. 1, 2(6)
Commencement Information
I1Sch. 3 Pt. III para. 21 wholly in force at 1.12.2001; Sch. 3 Pt. III para. 21 not in force at Royal Assent see s. 431(2); Sch. 3 Pt. III para. 21 in force for certain purposes at 25.2.2001 by S.I. 2001/516, art. 2(b)(c), Sch. Pts. 2, 3; Sch. 3 Pt. III para. 21 in force for specified purposes at 18.6.2001 by S.I. 2001/1820, art. 2, Sch.; Sch. 3 Pt. III para. 21 in force in so far as not already in force at 1.12.2001 by S.I. 2001/3538, art. 2(1)
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