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The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 is up to date with all changes known to be in force on or before 12 September 2024. There are changes that may be brought into force at a future date.
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below.
You searched for provisions that are applicable to England. The matching provisions are highlighted below. Where no highlighting is shown the matching result may be contained within a footnote.
PART 2 Amendments to the ActPrevious MatchNext Match
CHAPTER 1 Part 1A of the Act: the regulatorsPrevious MatchNext Match
3.Section 1A (the Financial Conduct Authority)Previous MatchNext Match
4.Section 1H (further interpretative provisions for sections 1B to 1G)Previous MatchNext Match
5.Section 1L (supervision, monitoring and enforcement)Previous MatchNext Match
6.Section 2AB (functions of the PRA)Previous MatchNext Match
7.Section 3E (memorandum of understanding)Previous MatchNext Match
8.Section 3I (power of PRA to require FCA to refrain from specified action)Previous MatchNext Match
9.Section 3J (power of PRA in relation to with-profits policies)Previous MatchNext Match
10.Section 3M (directions relating to consolidated supervision of groups)Previous MatchNext Match
CHAPTER 2 Part 3 of the Act: authorisation and exemptionPrevious MatchNext Match
CHAPTER 3 Part 4A of the Act: permission to carry on regulated activitiesPrevious MatchNext Match
15.Section 55D (application for permission)Previous MatchNext Match
16.Section 55J (variation and cancellation of Part 4A permission: general)Previous MatchNext Match
17.Section 55K (variation and cancellation of Part 4A permission: investment firms)Previous MatchNext Match
18.Section 55KA (variation and cancellation of Part 4A permission: insurance undertakings etc.)Previous MatchNext Match
19.Section 55PA (imposition and variation of requirements)Previous MatchNext Match
20.Section 55Q (exercise of power in support of overseas regulator)Previous MatchNext Match
22.Section 55S (additional permissions)Previous MatchNext Match
23.Sections 55Z1 to 55Z2A (notification)Previous MatchNext Match
CHAPTER 4 Part 5 of the Act: performance of regulated activitiesPrevious MatchNext Match
25.Section 59 (approval for particular arrangements)Previous MatchNext Match
26.Section 63E (certification of employees by relevant authorised persons)Previous MatchNext Match
27.Section 66A (misconduct: action by the FCA)Previous MatchNext Match
28.Section 66B (misconduct: action by the PRA)Previous MatchNext Match
29.Section 71D (sections 71B and 71C: conditions)Previous MatchNext Match
30.Section 71I (sections 71B to 71H: interpretation)Previous MatchNext Match
CHAPTER 5 Part 7 of the Act: control of business transfersPrevious MatchNext Match
CHAPTER 6 Part 9A of the Act: rules and guidancePrevious MatchNext Match
35.Section 137J (rules about recovery plans: duty to consult)Previous MatchNext Match
36.Section 137N (recovery plans and resolution packs: restriction on duty of confidence)Previous MatchNext Match
37.Section 137Q (price stabilising rules)Previous MatchNext Match
38.Section 137R (financial promotion rules)Previous MatchNext Match
39.Section 138K (consultation: mutual societies)Previous MatchNext Match
40.Section 139A (power of the FCA to give guidance)Previous MatchNext Match
41.Section 141A (power to make consequential amendments of references to rules etc)Previous MatchNext Match
CHAPTER 7 Part 11 of the Act: information gathering and investigationsPrevious MatchNext Match
43.Section 165A (PRA's power to require information: financial stability)Previous MatchNext Match
44.Section 167 (appointment of persons to carry out general investigations)Previous MatchNext Match
45.Section 168 (appointment of persons to carry out investigations in particular cases)Previous MatchNext Match
46.Section 169 (investigations etc. in support of overseas regulator)Previous MatchNext Match
47.Section 169A (support of overseas regulator with respect to financial stability)Previous MatchNext Match
CHAPTER 8 Part 12 of the Act: control over authorised personsPrevious MatchNext Match
49.Section 184 (disregarded holdings)Previous MatchNext Match
50.Section 186 (assessment criteria)Previous MatchNext Match
51.Section 188 (assessment: consultation with EC competent authorities)Previous MatchNext Match
52.Section 189 (assessment: procedure)Previous MatchNext Match
53.Section 190 (requests for further information)Previous MatchNext Match
54.Section 190A (assessment and resolution)Previous MatchNext Match
55.Section 191A (objection by the appropriate regulator)Previous MatchNext Match
56.Section 191G (interpretation of Part 12)Previous MatchNext Match
CHAPTER 9 Part 12A of the Act: powers exercisable in relation to parent undertakingsPrevious MatchNext Match
CHAPTER 10 Part 14 of the Act: disciplinary measuresPrevious MatchNext Match
CHAPTER 11 Part 20 of the Act: provision of financial services by members of the professionsPrevious MatchNext Match
CHAPTER 12 Part 22 of the Act: auditors and actuariesPrevious MatchNext Match
CHAPTER 13 Part 25 of the Act: injunctions and restitutionPrevious MatchNext Match
CHAPTER 14 Part 26 of the Act: noticesPrevious MatchNext Match
75.Section 391A (publication: special requirements relating to capital requirements directive)Previous MatchNext Match
76.Section 391B (publication: special provisions relating to the transparency obligations directive)Previous MatchNext Match
77.Section 391C (publication: special provisions relating to the UCITS directive)Previous MatchNext Match
78.Section 391D (publication: special provisions relating to the markets in financial instruments directive)Previous MatchNext Match
79.Section 391E (publication: special provisions relating to the insurance distribution directive)Previous MatchNext Match
CHAPTER 15 Part 27 of the Act: offencesPrevious MatchNext Match
CHAPTER 16 Part 28 of the Act: miscellaneousPrevious MatchNext Match
CHAPTER 17 Part 29 of the Act: interpretation of the ActPrevious MatchNext Match
86.Section 418 (carrying on regulated activities in the United Kingdom)Previous MatchNext Match
87.Section 420 (parent and subsidiary undertaking)Previous MatchNext Match
88.Section 422A (disregarded holdings)Previous MatchNext Match
90.Section 424A (meaning of “investment firm”)Previous MatchNext Match
91.Section 425A (consumers: regulated activities etc carried on by authorised persons)Previous MatchNext Match
92.Section 425C (“qualifying EU provision”)Previous MatchNext Match
CHAPTER 18 Schedule 1ZA to the Act: the Financial Conduct AuthorityPrevious MatchNext Match
CHAPTER 19 Schedule 1ZB to the Act: the Prudential Regulation AuthorityPrevious MatchNext Match
CHAPTER 20 Schedule 2 to the Act: regulated activitiesPrevious MatchNext Match
CHAPTER 21 Schedule 6 to the Act: threshold conditionsPrevious MatchNext Match
98.Paragraph 2C (effective supervision)Previous MatchNext Match
99.Paragraph 3B (effective supervision)Previous MatchNext Match
100.Paragraph 4A (introduction to Part 1D)Previous MatchNext Match
101.Paragraph 4F (effective supervision)Previous MatchNext Match
102.Paragraph 5F (effective supervision)Previous MatchNext Match
103.Paragraph 8 (additional conditions)Previous MatchNext Match
CHAPTER 22 Schedule 12 to the Act: transfer schemes: certificatesPrevious MatchNext Match
105.Paragraph 1 (insurance business transfer schemes)Previous MatchNext Match
106.Paragraph 2 (certificates as to margin of solvency)Previous MatchNext Match
107.Paragraphs 3 to 6 (further provisions on certificates)Previous MatchNext Match
108.Paragraph 7 (banking business transfer schemes)Previous MatchNext Match
109.Paragraph 8 (certificates as to financial resources)Previous MatchNext Match
110.Paragraph 9 (certificates as to consent of home state regulator)Previous MatchNext Match
111.Paragraph 9B (ring-fencing transfer schemes)Previous MatchNext Match
112.Paragraph 9C (certificate as to financial resources)Previous MatchNext Match
113.Paragraph 9D (certificate as to consent of home state regulator)Previous MatchNext Match
114.Paragraph 10 (insurance business transfers effected outside the United Kingdom)Previous MatchNext Match
CHAPTER 23 Schedule 17A to the Act: further provisions in relation to exercise of Part 18 functions by Bank of EnglandPrevious MatchNext Match
PART 3 Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001Previous MatchNext Match
122.Article 4 (specified activities: general)Previous MatchNext Match
123.Article 6 (sums paid by certain persons)Previous MatchNext Match
124.Article 9B (issuing electronic money)Previous MatchNext Match
125.Article 9C (persons certified as small issuers etc)Previous MatchNext Match
126.Article 24A (bidding in emissions auctions)Previous MatchNext Match
127.Article 24B (miscellaneous exclusions)Previous MatchNext Match
128.Article 33B (provision of information – contracts of insurance)Previous MatchNext Match
129.Article 35 (international securities self-regulating organisations)Previous MatchNext Match
130.Article 35A (trade repositories)Previous MatchNext Match
131.Article 42A (depositaries of UCITS and AIFs)Previous MatchNext Match
133.Article 51ZB (acting as trustee or depositary of a UCITS)Previous MatchNext Match
134.Article 51ZD (acting as trustee or depositary of an AIF)Previous MatchNext Match
135.Article 51ZG (operating a collective investment scheme in relation to a UCITS or an AIF)Previous MatchNext Match
136.Article 53DA (advising on regulated credit agreements for the acquisition of land)Previous MatchNext Match
137.Article 54 (advice given in newspapers etc)Previous MatchNext Match
138.Article 60D (exempt agreements: exemption relating to the purchase of land for non-residential purposes)Previous MatchNext Match
139.Article 60E (exempt agreements: exemptions relating to the nature of the lender)Previous MatchNext Match
140.Article 60G (exempt agreements: exemptions relating to the total charge for credit)Previous MatchNext Match
141.Article 60H (exempt agreements: exemptions relating to the nature of the borrower)Previous MatchNext Match
142.Article 60HA (exempt agreements: exemptions not permitted under the mortgages directive)Previous MatchNext Match
143.Article 60JA (payment institutions)Previous MatchNext Match
144.Article 60JB (electronic money institutions)Previous MatchNext Match
145.Article 61 (regulated mortgage contracts)Previous MatchNext Match
146.Article 61A (mortgage contracts which are not regulated mortgage contracts)Previous MatchNext Match
148.Article 72AA (managers of UCITS and AIFs)Previous MatchNext Match
149.Article 72D (large risks contracts where risk situated outside the EEA)Previous MatchNext Match
150.Article 72E (Business Angel-led Enterprise Capital Funds)Previous MatchNext Match
152.Article 77A (alternative finance investment bonds)Previous MatchNext Match
153.Article 78 (government and public securities)Previous MatchNext Match
154.Article 82A (greenhouse gas emissions allowances)Previous MatchNext Match
155.Article 82B (emission allowances)Previous MatchNext Match
158.Article 85 (contracts for differences etc)Previous MatchNext Match
159.Article 95 (exclusion from record where not fit and proper to carry on insurance distribution)Previous MatchNext Match
160.Schedule 4 (relevant text of the insurance distribution directive)Previous MatchNext Match
161.Schedule 8 (persons excluded from regulated activity of managing an AIF)Previous MatchNext Match
PART 4 Amendments to the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005Previous MatchNext Match
162.Introduction and transitional provisionPrevious MatchNext Match
163.Article 2 (interpretation: general)Previous MatchNext Match
164.Article 6 (interpretation: communications)Previous MatchNext Match
165.Article 8A (interpretation: outgoing electronic commerce communication)Previous MatchNext Match
166.Article 10 (application to qualifying contracts of insurance)Previous MatchNext Match
167.Article 12 (communications to overseas recipients)Previous MatchNext Match
168.Article 18A (electronic commerce communications: mere conduits, caching and hosting)Previous MatchNext Match
169.Article 20B (incoming electronic commerce communications)Previous MatchNext Match
170.Article 25 (relevant insurance activity: non-real time communications: reinsurance and large risks)Previous MatchNext Match
171.Article 29 (communications required or authorised by enactments)Previous MatchNext Match
172.Article 34 (governments, central banks etc)Previous MatchNext Match
173.Article 36 (nationals of EEA States other than United Kingdom)Previous MatchNext Match
174.Article 59 (annual accounts and directors' report)Previous MatchNext Match
175.Article 70 (promotions included in listing particulars etc)Previous MatchNext Match
176.Schedule 1 (controlled activities and controlled investments)Previous MatchNext Match
PART 5 Amendments to other secondary legislationPrevious MatchNext Match
177.The Financial Services and Markets Act 2000 (Exemption) Order 2001Previous MatchNext Match
178.The Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001Previous MatchNext Match
179.The Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001Previous MatchNext Match
180.The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001Previous MatchNext Match
181.The Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001Previous MatchNext Match
182.The Financial Services and Markets Act 2000 (Own-initiative Power) (Overseas Regulators) Regulations 2001Previous MatchNext Match
183.The Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001Previous MatchNext Match
184.The Financial Services and Markets Act 2000 (Control of Business Done at Lloyd's) Order 2001Previous MatchNext Match
185.The Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009Previous MatchNext Match
186.The Financial Services and Markets Act 2000 (Prescribed Financial Institutions) Order 2013Previous MatchNext Match
187.The Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013Previous MatchNext Match
188.The Financial Services and Markets Act 2000 (Exercise of Powers under Part 4A) (Consultation with Home State Regulators) Regulations 2013Previous MatchNext Match
189.The Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013Previous MatchNext Match
190.The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (No. 2) Order 2013Previous MatchNext Match
191.The Financial Services and Markets Act 2000 (Ring-fenced Bodies and Core Activities) Order 2014Previous MatchNext Match
192.The Financial Services and Markets Act 2000 (Excluded Activities and Prohibitions) Order 2014Previous MatchNext Match
193.The Financial Services and Markets Act 2000 (Relevant Authorised Persons) Order 2015Previous MatchNext Match
PART 6 Minor and consequential amendmentsPrevious MatchNext Match
PART 7 Transitional Powers of the Financial RegulatorsPrevious MatchNext Match
198.Power of the regulators to give transitional directionsPrevious MatchNext Match
199.Meaning of “relevant obligation”Previous MatchNext Match
200.Giving, and effect, of transitional directionsPrevious MatchNext Match
201.Variation of transitional directionsPrevious MatchNext Match
203.Notification and publication of transitional directionsPrevious MatchNext Match
204.Revocation of transitional directionsPrevious MatchNext Match
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