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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, Section 39K is up to date with all changes known to be in force on or before 28 December 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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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 legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.
Changes and effects yet to be applied to Article 39K:
- Sch. 3 Pt. 1 para. 2(c) words substituted by S.I. 2023/548 art. 2(5)
- art. 72B(1)(c) words omitted by S.I. 2024/1239 reg. 5(4)(c)
- art. 72B(1)(c)(i) sum substituted by S.I. 2024/1239 reg. 5(4)(a)
- art. 72B(1)(c)(ii) sum substituted by S.I. 2024/1239 reg. 5(4)(b)
Changes and effects yet to be applied to the whole Instrument associated Parts and Chapters:
Whole provisions yet to be inserted into this Instrument (including any effects on those provisions):
- Sch. 3 Pt. 1 para. 2(c) words substituted by S.I. 2023/548 art. 2(5)
- art. 72B(1)(c) words omitted by S.I. 2024/1239 reg. 5(4)(c)
- art. 72B(1)(c)(i) sum substituted by S.I. 2024/1239 reg. 5(4)(a)
- art. 72B(1)(c)(ii) sum substituted by S.I. 2024/1239 reg. 5(4)(b)
[F1[F2Activities carried on by members of the legal profession etcU.K.
39K.—(1) There are excluded from articles 39D, 39E, 39F and 39G activities carried on by—
(a)a barrister or advocate acting in that capacity;
(b)a solicitor (within the meaning of the Solicitors Act 1974) in the course of providing advocacy services or litigation services;
(c)a solicitor (within the meaning of the Solicitors (Scotland) Act 1980) in the course of providing advocacy services or litigation services;
(d)a solicitor (within the meaning of the Solicitors (Northern Ireland) Order 1976) in the course of providing advocacy services or litigation services;
(e)a relevant person (other than a person falling within sub-paragraph (a) to (d)) in the course of providing advocacy services or litigation services.
(2) In paragraph (1)—
“advocacy services” means any services which it would be reasonable to expect a person who is exercising, or contemplating exercising, a right of audience in relation to any proceedings, or contemplated proceedings, to provide for the purpose of those proceedings or contemplated proceedings;
“litigation services” means any services which it would be reasonable to expect a person who is exercising, or contemplating exercising, a right to conduct litigation in relation to any proceedings, or contemplated proceedings, to provide for the purpose of those proceedings or contemplated proceedings;
“relevant person” means a person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the exercise of a right of audience or the conduct of litigation (within the meaning of that Act).]]
Textual Amendments
F1Pt. II Ch. 7B inserted (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013 (S.I. 2013/1881), art. 1(2)(6), 5
F2Art. 39K substituted (24.3.2015) by The Financial Services and Markets Act 2000 (Miscellaneous Provisions) Order 2015 (S.I. 2015/853), arts. 1(2), 3(3)
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