- Y Diweddaraf sydd Ar Gael (Diwygiedig)
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Financial Services and Markets Act 2000
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- Deddfau Cyhoeddus Cyffredinol y Deyrnas Unedig
- 2000 c. 8
- SCHEDULE 4
- Notice to UK regulator
Pa Fersiwn
Nodweddion Uwch
- Dangos Graddfa Ddaearyddol(e.e. Lloegr, Cymru, Yr Alban aca Gogledd Iwerddon)
- Dangos Llinell Amser Newidiadau
Rhagor o Adnoddau
Changes over time for: Cross Heading: Notice to UK regulator
Version Superseded: 31/12/2020
Alternative versions:
Status:
Point in time view as at 08/08/2018.
Changes to legislation:
Financial Services and Markets Act 2000, Cross Heading: Notice to UK regulator is up to date with all changes known to be in force on or before 30 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.
Changes to Legislation
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Notice to [F1UK regulator] U.K.
Textual Amendments
F1Words in Sch. 4 para. 5 cross-heading substituted (27.2.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 4 para. 26(5) (with Sch. 20); S.I. 2013/423, arts. 2, 3, Sch.
5(1)Sub-paragraph (2) applies to a Treaty firm which—U.K.
(a)qualifies for authorisation under this Schedule, but
(b)is not carrying on in the United Kingdom the regulated activity, or any of the regulated activities, which it has permission to carry on there.
(2)At least seven days before it begins to carry on such a regulated activity, the firm must give [F2the appropriate UK regulator] written notice of its intention to do so.
[F3(2A)"The appropriate UK regulator” means—
(a)where any of the activities to which the notice relates is a PRA-regulated activity, the PRA;
(b)in any other case, the FCA.
(2B)Where the PRA receives a notice under sub-paragraph (2), it must give a copy to the FCA without delay.
(2C)Where the FCA receives a notice under sub-paragraph (2) from—
(a)a PRA-authorised person, or
(b)a person whose immediate group includes a PRA-authorised person,
it must give a copy to the PRA without delay.]
(3)If a Treaty firm to which sub-paragraph (2) applies has given notice under that sub-paragraph, it need not give such a notice if it again becomes a firm to which that sub-paragraph applies.
[F4(4)Subsections (1), (4) and (8) of section 55U apply to a notice under sub-paragraph (2) as they apply to an application for a Part 4A permission.]
Textual Amendments
F2Words in Sch. 4 para. 5(2) substituted (27.2.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 4 para. 26(2) (with Sch. 20); S.I. 2013/423, arts. 2, 3, Sch.
F3Sch. 4 para. 5(2A)-(2C) inserted (27.2.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 4 para. 26(3) (with Sch. 20); S.I. 2013/423, arts. 2, 3, Sch.
F4Sch. 4 para. 5(4) substituted (24.1.2013 for specified purposes, 27.2.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 4 para. 26(4) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, arts. 2, 3, Sch.
Modifications etc. (not altering text)
C1Sch. 4 para. 5(1) amended (temp. from 3.9.2001 to 1.12.2001) by S.I. 2001/2659, arts. 1(2), 3(12); S.I. 2001/3538, art. 2(1)
Commencement Information
I1Sch. 4 para. 5 wholly in force at 1.12.2001; Sch. 4 para. 5 not in force at Royal Assent see s. 431(2); Sch. 4 para. 5 force for specified purposes at 3.9.2001 by S.I. 2001/2632, art. 2(2), Sch. Pt. 2; Sch. 4 para. 5 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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