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The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences etc.) Order 2001

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Regulated persons

14.  For the purposes of this Part—

“former regulated person” means any person who was, at any time before commencement, a regulated person but who is not, and never has been, an authorised person within the meaning of the Act;

“regulated person” means—

(a)

an authorised person within the meaning of the Financial Services Act;

(b)

an exempted person by virtue of section 43(1) (listed money market institutions) or section 44(2) (appointed representatives) of that Act;

(c)

an authorised institution within the meaning of the Banking Act;

(d)

a person who was authorised under section 3 or 4 of the Insurance Companies Act(3);

(e)

a European institution within the meaning of the 2BCD Regulations;

(f)

a European investment firm within the meaning of the ISD Regulations;

(g)

an EC company within the meaning of the Insurance Companies Act which, by virtue of paragraph 1 or 8 of Schedule 2F to that Act(4), was able to carry on direct insurance business through a branch in the United Kingdom or provide insurance in the United Kingdom;

(h)

a friendly society which was authorised or treated as authorised for the purposes of Part IV of the Friendly Societies Act 1992, or which was permitted by virtue of section 31(2) or (3) of that Act to carry on any activities without authorisation under that Part; or

(i)

a building society which was authorised or treated as authorised for the purposes of the Building Societies Act.

(1)

Amended by the Bank of England Act 1998 (c. 11) sections 23, 25 and 26 and modified by S.I. 1992/3218, S.I. 1995/3275 and S.I. 1996/1669.

(2)

Modified by S.I. 1992/3218 and S.I. 1995/3275.

(3)

Section 3 was amended by S.I. 1997/2781.

(4)

Inserted by S.I. 1994/1696 and amended by S.I. 1997/2781.

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