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The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

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The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 is up to date with all changes known to be in force on or before 27 December 2024. There are changes that may be brought into force at a future date. Help about Changes to Legislation

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  1. Introductory Text

  2. PART I GENERAL

    1. 1. Citation

    2. 2. Commencement

    3. 3. Interpretation

  3. PART II SPECIFIED ACTIVITIES

    1. Chapter I General

      1. 4. Specified activities: general

    2. Chapter II Accepting Deposits

      1. The activity

        1. 5. Accepting deposits

      2. Exclusions

        1. 6. Sums paid by certain persons

        2. 7. Sums received by solicitors etc.

        3. 8. Sums received by persons authorised to deal etc.

        4. 9. Sums received in consideration for the issue of debt securities

        5. 9A. Sums received in exchange for electronic money

        6. 9AA.Information society services

    3. CHAPTER IIA ELECTRONIC MONEY

      1. The activity

        1. 9B. Issuing electronic money

      2. Exclusions

        1. 9C. Persons certified as small issuers etc.

        2. 9D. Applications for certificates

        3. 9E. Revocation of certificate on Authority’s own initiative

        4. 9F. Revocation of certificate on request

        5. 9G. Obtaining information from certified persons etc.

      3. Supplemental

        1. 9H. Rules prohibiting the issue of electronic money at a discount

        2. 9I. False claims to be a certified person

        3. 9J. Exclusion of electronic money from the compensation scheme

        4. 9K. Record of certified persons

    4. Chapter III Insurance

      1. The activities

        1. 10. Effecting and carrying out contracts of insurance

      2. Exclusions

        1. 11. Community co-insurers

        2. 12. Breakdown insurance

        3. 12A.Information society services

      3. Supplemental

        1. 13. Application of sections 327 and 332 of the Act to insurance market activities

    5. Chapter IV Dealing in Investments as Principal

      1. The activity

        1. 14. Dealing in investments as principal

      2. Exclusions

        1. 15. Absence of holding out etc.

        2. 16. Dealing in contractually based investments

        3. 17. Acceptance of instruments creating or acknowledging indebtedness

        4. 18. Issue by a company of its own shares etc.

        5. 19. Risk management

        6. 20. Other exclusions

    6. Chapter V Dealing in Investments as Agent

      1. The activity

        1. 21. Dealing in investments as agent

      2. Exclusions

        1. 22. Deals with or through authorised persons

        2. 23. Risk management

        3. 24. Other exclusions

    7. Chapter VI Arranging Deals in Investments

      1. The activities

        1. 25. Arranging deals in investments

      2. Exclusions

        1. 26. Arrangements not causing a deal

        2. 27. Enabling parties to communicate

        3. 28. Arranging transactions to which the arranger is a party

        4. 29. Arranging deals with or through authorised persons

        5. 30. Arranging transactions in connection with lending on the security of insurance policies

        6. 31. Arranging the acceptance of debentures in connection with loans

        7. 32. Provision of finance

        8. 33. Introducing

        9. 34. Arrangements for the issue of shares etc.

        10. 35. International securities self-regulating organisations

        11. 36. Other exclusions

    8. Chapter VII Managing Investments

      1. The activity

        1. 37. Managing investments

      2. Exclusions

        1. 38. Attorneys

        2. 39. Other exclusions

    9. Chapter VIII Safeguarding and Administering Investments

      1. The activity

        1. 40. Safeguarding and administering investments

      2. Exclusions

        1. 41. Acceptance of responsibility by third party

        2. 42. Introduction to qualifying custodians

        3. 43. Activities not constituting administration

        4. 44. Other exclusions

    10. Chapter IX Sending Dematerialised Instructions

      1. The activities

        1. 45. Sending dematerialised instructions

      2. Exclusions

        1. 46. Instructions on behalf of participating issuers

        2. 47. Instructions on behalf of settlement banks

        3. 48. Instructions in connection with takeover offers

        4. 49. Instructions in the course of providing a network

        5. 50. Other exclusions

    11. Chapter X Collective Investment Schemes

      1. The activities

        1. 51. Establishing etc. a collective investment scheme

      2. Exclusion

        1. 51A.Information society services

    12. Chapter XI Stakeholder Pension Schemes

      1. The activities

        1. 52. Establishing etc. a stakeholder pension scheme

      2. Exclusion

        1. 52A.Information society services

    13. Chapter XII Advising on Investments

      1. The activity

        1. 53. Advising on investments

      2. Exclusions

        1. 54. Advice given in newspapers etc.

        2. 55. Other exclusions

    14. Chapter XIII Lloyd’s

      1. The activities

        1. 56. Advice on syndicate participation at Lloyd’s

        2. 57. Managing the underwriting capacity of a Lloyd’s syndicate

        3. 58. Arranging deals in contracts of insurance written at Lloyd’s

      2. Exclusion

        1. 58A.Information society services

    15. Chapter XIV Funeral Plan Contracts

      1. The activity

        1. 59. Funeral plan contracts

      2. Exclusions

        1. 60. Plans covered by insurance or trust arrangements

        2. 60A.Information society services

    16. Chapter XV Regulated Mortgage Contracts

      1. The activities

        1. 61. Regulated mortgage contracts

      2. Exclusions

        1. 62. Arranging administration by authorised person

        2. 63. Administration pursuant to agreement with authorised person

        3. 63A.Information society services

    17. Chapter XVI Agreeing to Carry on Activities

      1. The activity

        1. 64. Agreeing to carry on specified kinds of activity

      2. Exclusions

        1. 65.Overseas persons etc

    18. Chapter XVII Exclusions Applying to Several Specified Kinds of Activity

      1. 66. Trustees, nominees and personal representatives

      2. 67. Activities carried on in the course of a profession or non-investment business

      3. 68. Activities carried on in connection with the sale of goods or supply of services

      4. 69. Groups and joint enterprises

      5. 70. Activities carried on in connection with the sale of a body corporate

      6. 71. Activities carried on in connection with employee share schemes

      7. 72. Overseas persons

      8. 72A.Information society services

  4. PART III SPECIFIED INVESTMENTS

    1. 73. Investments: general

    2. 74. Deposits

    3. 74A. Electronic money

    4. 75. Contracts of insurance

    5. 76. Shares etc.

    6. 77. Instruments creating or acknowledging indebtedness

    7. 78. Government and public securities

    8. 79. Instruments giving entitlements to investments

    9. 80. Certificates representing certain securities

    10. 81. Units in a collective investment scheme

    11. 82. Rights under a stakeholder pension scheme

    12. 83. Options

    13. 84. Futures

    14. 85. Contracts for differences etc.

    15. 86. Lloyd’s syndicate capacity and syndicate membership

    16. 87. Funeral plan contracts

    17. 88. Regulated mortgage contracts

    18. 89. Rights to or interests in investments

  5. PART IV CONSEQUENTIAL PROVISIONS

    1. Regulated mortgage contracts: consequential provisions

      1. 90. Consequential amendments of the Consumer Credit Act 1974

      2. 91. Consequential amendments of subordinate legislation under the Consumer Credit Act 1974

  6. Signature

    1. SCHEDULE 1

      CONTRACTS OF INSURANCE

      1. PART I CONTRACTS OF GENERAL INSURANCE

        1. 1. Accident

        2. 2. Sickness

        3. 3. Land vehicles

        4. 4. Railway rolling stock

        5. 5. Aircraft

        6. 6. Ships

        7. 7. Goods in transit

        8. 8. Fire and natural forces

        9. 9. Damage to property

        10. 10. Motor vehicle liability

        11. 11. Aircraft liability

        12. 12. Liability of ships

        13. 13. General liability

        14. 14. Credit

        15. 15. Suretyship

        16. 16. Miscellaneous financial loss

        17. 17. Legal expenses

        18. 18. Assistance

      2. PART II CONTRACTS OF LONG-TERM INSURANCE

        1. I. Life and annuity

        2. II. Marriage and birth

        3. III. Linked long term

        4. IV. Permanent health

        5. V. Tontines

        6. VI. Capital redemption contracts

        7. VII. Pension fund management

        8. VIII. Collective insurance etc.

        9. IX. Social insurance

    2. SCHEDULE 2

      ANNEX TO THE INVESTMENT SERVICES DIRECTIVE

    3. SCHEDULE 3

      ARTICLE 2.2 OF THE INVESTMENT SERVICES DIRECTIVE

  8. Explanatory Note

Yn ôl i’r brig

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