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Financial Services and Markets Act 2023
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There are currently no known outstanding effects for the Financial Services and Markets Act 2023, SCHEDULE 3.
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Section 8
SCHEDULE 3U.K.New Schedule 6B to FSMA 2000
This
Atodlen has no associated
Nodiadau Esboniadol
Commencement Information
I1Sch. 3 not in force at Royal Assent, see s. 86(3)
I2Sch. 3 in force at 29.8.2023 by S.I. 2023/779, reg. 4(aaa)
“SCHEDULE 6BU.K.Designated activities
Introductory
1The matters with respect to which provision may be made under section 71K in respect of activities include (but are not limited to) those described in general terms in this Schedule.
Derivatives
2Activities related to entering into derivative contracts (including those contracts not cleared by a central counterparty).
3Holding positions in commodity derivatives.
Short selling
4Engaging in short selling in relation to specified financial instruments (“shorted instruments”) including where—
(a)a person enters into a transaction which creates, or relates to, another financial instrument, and
(b)the effect (or one of the effects) of the transaction is to confer a financial advantage on that person in the event of a decrease in the price or value of the shorted instrument.
Securitisation
5Acting as one of the following in a securitisation—
(a)an originator,
(b)a sponsor,
(c)an original lender, or
(d)a securitisation special purpose entity.
6Selling a securitisation position to a retail client located in the United Kingdom.
Financial markets
7Offering securities to the public.
8Applying for, securing or maintaining the admission of securities to trading on a securities market.
Using a benchmark
9Issuing an instrument which references a benchmark.
10Determining the amount payable under an instrument or financial contract by reference to a benchmark or otherwise being a party to a financial contract which references a benchmark.
11Measuring the performance of an investment fund through a benchmark.
Contributing to a benchmark
12Acting as a “benchmark contributor” including persons in the United Kingdom or a third country.
13Contributing data to a regulated benchmark administrator for the purpose of the administrator determining a benchmark.”
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