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The Consumer Composite Investments (Designated Activities) Regulations 2024
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Regulation 10
SCHEDULE 1Application with modifications of provisions of FSMA 2000 and amendments of secondary legislation
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Memorandwm Esboniadol
PART 1Application with modifications of provisions of FSMA 2000
Temporary CCI intervention rules
1. Sections 138M to 138O of FSMA 2000 (temporary product intervention rules)(1) apply to rules made by virtue of regulation 6 as they apply to product intervention rules made under section 137D of FSMA 2000 as if—
(a)each reference to product intervention rules were a reference to rules made by virtue of regulation 6 of these Regulations;
(b)in section 138M(1), for the words “advancing” to the end there were substituted “advancing the consumer protection objective”;
(c)in section 138O(1), the reference to section 138N were a reference to section 138N as applied by these Regulations.
Restitution
2. Section 384 of FSMA 2000 (power of FCA or PRA to require restitution)(2) applies in respect of contraventions of a requirement imposed by virtue of regulation 6 of these Regulations and persons knowingly concerned in the contravention of such a requirement as if, in subsection (1), reference to an authorised person or recognised investment exchange included persons subject to designated activity rules made by virtue of regulation 6 of these Regulations.
PART 2Amendments of secondary legislation
The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001
3. In the Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001(3), omit article 31 (communications required by the PRIIPs regulation: key information document).
The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
4. In the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005(4), omit article 20C (communications required by the PRIIPs Regulation: key information document).
(1)
Sections 138M to 138O were substituted by section 24(1) of the Financial Services Act 2012 (c. 21).
(2)
Relevant amendments were made by paragraphs 23(2)(a), (b), 23(4)(a), (b) and 23(5) of Schedule 9 to the Financial Services Act 2012 and S.I. 2016/680. There are other amendments which are not relevant.
(3)
S.I. 2001/1060. Article 31 was inserted by S.I. 2017/1127.
(4)
S.I. 2005/1529. Article 20C was inserted by S.I. 2017/1127.
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