Chwilio Deddfwriaeth

Chwiliad Uwch

The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

Changes to legislation:

There are currently no known outstanding effects for the The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005. Help about Changes to Legislation

Close

Changes to Legislation

Revised legislation carried on this site may not be fully up to date. At the current time any known changes or effects made by subsequent legislation have been applied to the text of the legislation you are viewing by the editorial team. Please see ‘Frequently Asked Questions’ for details regarding the timescales for which new effects are identified and recorded on this site.

  1. Introductory Text

  2. PART I Citation, Commencement and Interpretation

    1. 1.Citation and commencement

    2. 2.Interpretation: general

    3. 3.Interpretation: unlisted companies

  3. PART II Controlled Activities and Controlled Investments

    1. 4.Definition of controlled activities and controlled investments

  4. PART III Exemptions: Interpretation and Application

    1. 5.Interpretation: financial promotion restriction

    2. 6.Interpretation: communications

    3. 7.Interpretation: real time communications

    4. 8.Interpretation: solicited and unsolicited real time communications

    5. 8A.Interpretation: outgoing electronic commerce communications

    6. 9.Degree of prominence to be given to required indications

    7. 10.Application to qualifying contracts of insurance

    8. 11.Combination of different exemptions

  5. PART IV Exempt Communications: All Controlled Activities

    1. 12.Communications to overseas recipients

    2. 13.Communications from customers and potential customers

    3. 14.Follow up non-real time communications and solicited real time communications

    4. 15.Introductions

    5. 16.Exempt persons

    6. 17.Generic promotions

    7. 17A.Communications caused to be made or directed by unauthorised persons

    8. 18.Mere conduits

    9. 18A.Electronic commerce communications: mere conduits, caching and hosting

    10. 19.Investment professionals

    11. 20.Communications by journalists

    12. 20A.Promotion broadcast by company director etc.

    13. 20B.Incoming electronic commerce communications

  6. PART V Exempt Communications: Deposits and Insurance

    1. 21.Interpretation: relevant insurance activity

    2. 22.Deposits: non-real time communications

    3. 23.Deposits: real time communications

    4. 24.Relevant insurance activity: non-real time communications

    5. 25.Relevant insurance activity: non-real time communications: reinsurance and large risks

    6. 26.Relevant insurance activity: real time communication

  7. PART VI Exempt Communications: Certain Controlled Activities

    1. 27.Application of exemptions in this Part

    2. 28.One off non-real time communications and solicited real time communications

    3. 28A.One off unsolicited real time communications

    4. 28B.Real time communications: introductions...

    5. 29.Communications required or authorised by enactments

    6. 30.Overseas communicators: solicited real time communications

    7. 31.Overseas communicators: non-real time communications to previously overseas customers

    8. 32.Overseas communicators: unsolicited real time communications to previously overseas customers

    9. 33.Overseas communicators: unsolicited real time communications to knowledgeable customers

    10. 34.Governments, central banks etc.

    11. 35.Industrial and provident societies

    12. 36.Nationals of EEA States other than United Kingdom

    13. 37.Financial markets

    14. 38.Persons in the business of placing promotional material

    15. 39.Joint enterprises

    16. 40.Participants in certain recognised collective investment schemes

    17. 41.Bearer instruments: promotions required or permitted by market rules

    18. 42.Bearer instruments: promotions to existing holders

    19. 43.Members and creditors of certain bodies corporate

    20. 44.Members and creditors of open-ended investment companies

    21. 45.Group companies

    22. 46.Qualifying credit to bodies corporate

    23. 47.Persons in the business of disseminating information

    24. 48.Certified high net worth individuals

    25. 49.High net worth companies, unincorporated associations etc.

    26. 50.Sophisticated investors

    27. 50A.Self-certified sophisticated investors

    28. 51.Associations of high net worth or sophisticated investors

    29. 52.Common interest group of a company

    30. 53.Settlors, trustees and personal representatives

    31. 54.Beneficiaries of trust, will or intestacy

    32. 55.Communications by members of professions

    33. 55A.Non-real time communication by members of professions

    34. 56.Remedy following report by Parliamentary Commissioner for Administration

    35. 57.Persons placing promotional material in particular publications

    36. 58.Acquisition of interest in premises run by management companies

    37. 59.Annual accounts and directors' report

    38. 60.Participation in employee share schemes

    39. 61.Sale of goods and supply of services

    40. 62.Sale of body corporate

    41. 63.Takeovers of relevant unlisted companies: interpretation

    42. 64.Takeovers of relevant unlisted companies

    43. 65.Takeovers of relevant unlisted companies: warrants etc.

    44. 66.Takeovers of relevant unlisted companies: application forms

    45. 67.Promotions required or permitted by market rules

    46. 68.Promotions in connection with admission to certain EEA markets

    47. 69.Promotions of securities already admitted to certain markets

    48. 70.Promotions included in listing particulars etc.

    49. 71.Material relating to prospectus for public offer of unlisted securities

    50. 72.Pension products offered by employers

    51. 72A.Pension product offers communicated to employees by third parties

    52. 72B.Insurance product offers communicated to employees by employers

    53. 72C.Insurance product offers communicated to employees by third parties

    54. 72D.Staff mortgage offers communicated to employees by employers

    55. 72E.Staff mortgage offers communicated to employees by third parties

    56. 73.Advice centres

    57. 74.Revocation

  8. Signature

    1. SCHEDULE 1

       

      1. PART I Controlled Activities

        1. 1.Accepting deposits

        2. 2.Effecting or carrying out contracts of insurance

        3. 3.Dealing in securities and contractually based investments

        4. 4.Arranging deals in investments

        5. 4A.Operating a multilateral trading facility

        6. 5.Managing investments

        7. 6.Safeguarding and administering investments

        8. 7.Advising on investments

        9. 8.Advising on syndicate participation at Lloyd's

        10. 9.Providing funeral plan contracts

        11. 10.Providing qualifying credit

        12. 10A.Arranging qualifying credit etc.

        13. 10B.Advising on qualifying credit etc.

        14. 10C.Providing a regulated home reversion plan

        15. 10D.Arranging a regulated home reversion plan

        16. 10E.Advising on a regulated home reversion plan

        17. 10F.Providing a regulated home purchase plan

        18. 10G.Arranging a regulated home purchase plan

        19. 10H.Advising on a regulated home purchase plan

        20. 10I.Providing a regulated sale and rent back agreement

        21. 10J.Arranging a regulated sale and rent back agreement

        22. 10K.Advising on a regulated sale and rent back agreement

        23. 11.Agreeing to carry on specified kinds of activity

      2. PART II Controlled Investments

        1. 12.A deposit.

        2. 13.Rights under a contract of insurance.

        3. 14.(1) Shares or stock in the share capital of—

        4. 15.Instruments creating or acknowledging indebtedness

        5. 15A.Alternative finance investment bonds

        6. 16.Government and public securities

        7. 17.Instruments giving entitlements to investments

        8. 18.Certificates representing certain securities

        9. 19.Units in a collective investment scheme

        10. 20.Rights under a pension scheme

        11. 21.Options

        12. 22.Futures

        13. 23.Contracts for differences etc.

        14. 24.Lloyd's syndicate capacity and syndicate membership

        15. 25.Funeral plan contracts

        16. 26.Agreements for qualifying credit

        17. 26A.Regulated home reversion plans

        18. 26B.Regulated home purchase plans

        19. 26C.Regulated sale and rent back agreement

        20. 27.Rights to or interests in investments

        21. 28.Interpretation

    2. SCHEDULE 2

      COUNTRIES AND TERRITORIES

      1. 1.The Bailiwick of Guernsey.

      2. 2.The Isle of Man.

      3. 3.The Commonwealth of Pennsylvania.

      4. 4.The State of Iowa.

      5. 5.The Bailiwick of Jersey.

    3. SCHEDULE 3

      MARKETS AND EXCHANGES

      1. PART I Criteria for Relevant EEA Markets

      2. Part 2 Certain Investment Exchanges Operating Relevant EEA Markets

      3. PART III Certain Non-EEA Investment Exchanges Operating Relevant Markets

      4. PART IV Other Relevant Markets

    4. SCHEDULE 4

      TAKEOVERS OF RELEVANT UNLISTED COMPANIES

      1. PART I Requirements Relating to the Offer

        1. 1.The terms of the offer must be recommended by all...

        2. 2.(1) This paragraph applies to an offer for debentures or...

        3. 3.(1) This paragraph applies to an offer for shares comprised...

        4. 4.(1) Subject to sub-paragraph (2), the offer must be open...

        5. 5.The acquisition of the shares or debentures to which the...

        6. 6.The consideration for the shares or debentures must be—

      2. PART II Accompanying Material

        1. 7.An indication of the identity of the offeror and, if...

        2. 8.An indication of the fact that the terms of the...

        3. 9.An indication to the effect that any person who is...

        4. 10.An indication that, except insofar as the offer may be...

        5. 11.An indication of the date on which the invitation or...

        6. 12.An indication that the acquisition of the shares or debentures...

        7. 13.An indication of the place where additional material listed in...

        8. 14.The audited accounts of the company in respect of the...

        9. 15.Advice to the directors of the company on the financial...

        10. 16.An indication by the directors of the company, acting as...

        11. 17.An indication of any material interest which any director has...

        12. 18.An indication as to whether or not each director intends...

        13. 19.In the case of an offeror which is a body...

        14. 20.If the offeror is making the offer on behalf of...

        15. 21.An indication that each of the following—

        16. 22.The particulars of— (a) all shares in or debentures of...

        17. 23.An indication as to whether or not the offer is...

        18. 24.Where the offer is conditional upon acceptances, an indication of...

        19. 25.If the offer is, or has become, unconditional an indication...

        20. 26.An indication as to whether or not, if circumstances arise...

        21. 27.If shares or debentures are to be acquired for cash,...

        22. 28.(1) Subject to sub-paragraph (2), if the consideration or any...

        23. 29.Particulars of the first dividend in which any such shares...

        24. 30.An indication of the effect of the acceptance on the...

        25. 31.Particulars of all material contracts (not being contracts which were...

        26. 32.Particulars of the terms on which shares in or debentures...

        27. 33.An indication as to whether or not it is proposed,...

        28. 34.An indication as to whether or not there exists any...

        29. 35.An indication whether or not the offeror has reason to...

        30. 36.An indication as to whether or not there is any...

        31. 37.Particulars of any dealings— (a) in the shares in or...

        32. 38.In a case in which the offeror is a body...

        33. 39.Where valuations of assets are given in connection with the...

        34. 40.If any profit forecast is given in connection with the...

      3. PART III Additional Material Available for Inspection

        1. 41.The memorandum and articles of association of the company.

        2. 42.If the offeror is a body corporate, the memorandum and...

        3. 43.In the case of a company that does not fall...

        4. 44.In the case of an offeror which is required to...

        5. 45.In the case of a company or an offeror—

        6. 46.All existing contracts of service entered into for a period...

        7. 47.Any report, letter, valuation or other document any part of...

        8. 48.If the offer document contains any statement purporting to have...

        9. 49.All material contracts (if any) of the company and of...

    5. SCHEDULE 5

      STATEMENTS FOR CERTIFIED HIGH NET WORTH INDIVIDUALS AND SELF-CERTIFIED SOPHISTICATED INVESTORS

      1. PART I STATEMENT FOR CERTIFIED HIGH NET WORTH INDIVIDUALS

        1. 1.The statement to be signed for the purposes of article...

      2. PART II STATEMENT FOR SELF-CERTIFIED SOPHISTICATED INVESTORS

        1. 2.The statement to be signed for the purposes of article...

    6. SCHEDULE 6

      REVOCATION

  10. Explanatory Note

Yn ôl i’r brig

Options/Help

Print Options

Close

Mae deddfwriaeth ar gael mewn fersiynau gwahanol:

Y Diweddaraf sydd Ar Gael (diwygiedig):Y fersiwn ddiweddaraf sydd ar gael o’r ddeddfwriaeth yn cynnwys newidiadau a wnaed gan ddeddfwriaeth ddilynol ac wedi eu gweithredu gan ein tîm golygyddol. Gellir gweld y newidiadau nad ydym wedi eu gweithredu i’r testun eto yn yr ardal ‘Newidiadau i Ddeddfwriaeth’.

Gwreiddiol (Fel y’i Deddfwyd neu y’i Gwnaed): Mae'r wreiddiol fersiwn y ddeddfwriaeth fel ag yr oedd pan gafodd ei deddfu neu eu gwneud. Ni wnaed unrhyw newidiadau i’r testun.

Pwynt Penodol mewn Amser: This becomes available after navigating to view revised legislation as it stood at a certain point in time via Advanced Features > Show Timeline of Changes or via a point in time advanced search.

Close

Dewisiadau Agor

Dewisiadau gwahanol i agor deddfwriaeth er mwyn gweld rhagor o gynnwys ar y sgrin ar yr un pryd

Close

Rhagor o Adnoddau

Gallwch wneud defnydd o ddogfennau atodol hanfodol a gwybodaeth ar gyfer yr eitem ddeddfwriaeth o’r tab hwn. Yn ddibynnol ar yr eitem ddeddfwriaeth sydd i’w gweld, gallai hyn gynnwys:

  • y PDF print gwreiddiol y fel deddfwyd fersiwn a ddefnyddiwyd am y copi print
  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • manylion rhoi grym a newid cyffredinol
  • pob fformat o’r holl ddogfennau cysylltiedig
  • slipiau cywiro
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill
Close

Llinell Amser Newidiadau

This timeline shows the different points in time where a change occurred. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. The first date in the timeline will usually be the earliest date when the provision came into force. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). This date is our basedate. No versions before this date are available. For further information see the Editorial Practice Guide and Glossary under Help.

Close

Rhagor o Adnoddau

Defnyddiwch y ddewislen hon i agor dogfennau hanfodol sy’n cyd-fynd â’r ddeddfwriaeth a gwybodaeth am yr eitem hon o ddeddfwriaeth. Gan ddibynnu ar yr eitem o ddeddfwriaeth sy’n cael ei gweld gall hyn gynnwys:

  • y PDF print gwreiddiol y fel gwnaed fersiwn a ddefnyddiwyd am y copi print
  • slipiau cywiro

liciwch ‘Gweld Mwy’ neu ddewis ‘Rhagor o Adnoddau’ am wybodaeth ychwanegol gan gynnwys

  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • manylion rhoi grym a newid cyffredinol
  • pob fformat o’r holl ddogfennau cysylltiedig
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill

The data on this page is available in the alternative data formats listed: