- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (21/07/2018)
- Gwreiddiol (a wnaed Fel)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 is up to date with all changes known to be in force on or before 30 September 2024. There are changes that may be brought into force at a future date.
Changes and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. They are therefore not accessible when viewing legislation as at a specific point in time. To view the ‘Changes to Legislation’ information for this provision return to the latest version view using the options provided in the ‘What Version’ box above.
PART 2 Exempt and third-country investment firms
CHAPTER 2 Third country investment firms
9.Third country firms with an EEA branch: provision of services
10.FCA power to intervene in relation to third country firms with an EEA branch
11.Third country firms registered with ESMA: provision of services
12.FCA power to intervene in relation to third country firms registered with ESMA
13.Third country firms: provision of services to eligible counterparties or clients considered to be professionals
PART 3 Position limits and position management controls in commodity derivatives
19.FCA duty to use ESMA methodology to establish position limits and to review if market changes
22.Cooperation with other competent authorities regarding position limits affecting multiple EEA jurisdictions
24.FCA duty to notify ESMA of established position limits and position management controls
26.Effect of position limits established by the FCA or other competent authorities in the EEA
28A.Cooperation with ESMA and other competent authorities in respect of interventions to restrict, reduce, or limit positions
41.Provision of FCA record of recognised investment exchanges to ESMA and other competent authorities
42.Provision of information to ESMA about multilateral trading facilities etc
43.Provision to ESMA of reports by recognised investment exchanges of infringements of the exchange's rules, disorderly trading, suspected market abuse, and systems disruptions
44.Authorisation of members of management bodies to hold additional non-executive directorship
45.Provision of information to ESMA regarding sanctions and measures imposed for the purposes of the markets in financial instruments directive
46.Provision of information to other competent authorities regarding persons engaged in algorithmic trading or providing direct electronic access
47.Notifications, reports, and applications relating to the markets in financial instruments directive or the markets in financial instruments regulation
Administration and enforcement of Parts 3, 4, and 5
PART 4 Application of the Act for the purposes of the Regulations
PART 5 Application of secondary legislation for the purposes of the Regulations
Amendments to the Financial Services and Markets Act 2000
3.(1) Section 39A (certain tied agents operating outside the United...
4.Amendments to Part 4A (permission to carry on regulated activities)
5.(1) Section 55R (persons connected with an applicant) is amended...
7.(1) Section 102A (meaning of “securities” etc) is amended as...
8.In section 103(1) (interpretation of Part 6) in the definition...
9.Amendments to Part 8 (provisions relating to market abuse)
10.(1) Section 122I (power to suspend trading in financial instruments)...
11.After section 122I insert— Power to suspend auctioning of auctioned...
12.In section 123(1)(c)(i) (power to impose penalties or issue censure)...
13.(1) Section 123A (power to prohibit individuals from managing or...
14.In section 123B(1)(c) (suspending permission to carry on regulated activities...
15.In section 124(10) (statement of policy) in paragraph (c)(i) of...
16.(1) Section 129 (power of the court to impose administrative...
17.In section 131AB (interpretation)— (a) in the definition of “financial...
20.Amendments to Part 13 (incoming firms: intervention by FCA or PRA)
21.(1) Section 195A (contravention by relevant EEA firm etc of...
23.Amendments to Part 15 (the financial services compensation scheme)
25.(1) Section 215 (rights of the scheme in insolvency) is...
26.(1) Section 218A (regulators power to require information) is amended...
27.(1) Section 220 (scheme manager's power to inspect information held...
28.(1) Section 224 (scheme manager's power to inspect documents held...
29.Amendments to Part 18 (recognised investment exchanges and clearing houses)
30.After section 287 (application by an investment exchange) insert— Application...
31.In section 290(1A) (recognition orders)— (a) for “Community” substitute “...
32.In section 292(3) (overseas investment exchanges and overseas clearing houses),...
33.In section 301E(4)(a) (disregarded holdings) for “4.1(8)” substitute “ 4.1.7...
34.(1) Section 312A (exercise of passport rights by EEA market...
35.(1) Section 312B (removal of passport rights from EEA market...
36.(1) Section 312C (exercise of passport rights by recognised investment...
37.In section 312D (interpretation of Chapter 3A of Part 18)—...
39.Amendments to Part 18A (suspension and removal of financial instruments from trading)
40.Omit section 313C (notification in relation to suspension or removal...
41.After section 313C insert— Suspension or removal of financial instruments...
42.(1) Section 313D (interpretation of Part 18A) is amended as...
43.Amendments to Part 20 (provision of financial services by members of the professions)
44.Amendments to Part 23 (public record, disclosure of information and co-operation)
46.After section 391C (publication: special provisions relating to the UCITs...
47.After section 395(13)(bbza) (the FCA's and PRA's procedures) insert—
50.Omit sections 412A (approval and monitoring of trade-matching and reporting...
52.In section 422A(4)(a) (disregarded holdings) for “4.1(8)” substitute “ 4.1.7...
53.In section 424A(5)(b) (investment firm) for “4.1.20” substitute “ 4.1.55...
Amendments to secondary legislation made under the Financial Services and Markets Act 2000
1.The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
2.Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
3.Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001
4.Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
5.Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
6.Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013
7.Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
8.Financial Services and Markets Act 2000 (PRA-Regulated Activities) Order 2013
9.Financial Services and Markets Act 2000 (Ring-Fenced Bodies and Core Activities) Order 2014
Amendments to other primary legislation
Amendments to other secondary legislation
1.Income Tax (Manufactured Overseas Dividends) Regulations 1993
2.Financial Markets and Insolvency (Settlement Finality) Regulations 1999
5.Credit Institutions (Reorganisation and Winding Up) Regulations 2004
6.Occupational Pension Schemes (Investment) Regulations 2005
8.Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007
10.Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009
12.Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010
15.Investment Trust (Approved Company) (Tax) Regulations 2011
16.Supervision of Accounts and Reports (Prescribed Body) and Companies (Defective Accounts and Directors' Reports) (Authorised Person) Order 2012
19.Stamp Duty and Stamp Duty Reserve Tax (Exchange Traded Funds) (Exemption) Regulations 2014
20.Financial Services Act 2012 (Relevant Functions in Relation to Complaints Scheme) Order 2014
21.Public Interest Disclosure (Prescribed Persons) Order 2014
The Whole Instrument you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.
Would you like to continue?
The Whole Instrument you have selected contains over 200 provisions and might take some time to download.
Would you like to continue?
Yr Offeryn Cyfan you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.
Would you like to continue?
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.
Mae Memoranda Esboniadol yn nodi datganiad byr o ddiben Offeryn Statudol ac yn rhoi gwybodaeth am ei amcan polisi a goblygiadau polisi. Maent yn ceisio gwneud yr Offeryn Statudol yn hygyrch i ddarllenwyr nad oes ganddynt gymhwyster cyfreithiol, ac maent yn cyd-fynd ag unrhyw Offeryn Statudol neu Offeryn Statudol Drafft a gyflwynwyd ger bron y Senedd o Fehefin 2004 ymlaen.
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:
Impact Assessments generally accompany all UK Government interventions of a regulatory nature that affect the private sector, civil society organisations and public services. They apply regardless of whether the regulation originates from a domestic or international source and can accompany primary (Acts etc) and secondary legislation (SIs). An Impact Assessment allows those with an interest in the policy area to understand:
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.
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:
liciwch ‘Gweld Mwy’ neu ddewis ‘Rhagor o Adnoddau’ am wybodaeth ychwanegol gan gynnwys