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The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009

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  1. Introductory Text

  2. PART 1

    1. 1.Citation, commencement and interpretation

  3. PART 2

    1. 2.Amendment of the Principal Order

    2. 3.Definitions

    3. 4.Arranging sale and rent back agreements

    4. 5.Exclusion of arrangements not causing a deal

    5. 6.Exclusion where a person provides a means of communication between parties

    6. 7.Exclusion where the arranger is a party to the contract, plan or agreement

    7. 8.Exclusion of arrangements where transaction is with or through authorised persons

    8. 9.Exclusion made in the course of administration by authorised person

    9. 10.Exclusion of arrangements which consist of introduction to an authorised person etc. for independent advice

    10. 11.Exclusion of certain other arrangements consisting of an introduction to an authorised person etc.

    11. 12.Other exclusions: arranging

    12. 13.Advising on regulated sale and rent back agreements

    13. 14.Exclusion of advice given in newspapers etc.

    14. 15.Exclusion of advice given in the course of administration by authorised person

    15. 16.Other exclusions: advising

    16. 17.Entering into and administering regulated sale and rent back agreements

    17. 18.Exclusion of trustees, nominees and personal representatives

    18. 19.Exclusion of activities carried on in the course of a profession or non-investment business

    19. 20.Overseas persons

    20. 21.Specified investments

    21. 22.Rights to or interests in investments

  4. PART 3

    1. 23.Amendments of the Companies Act 1985

    2. 24.Amendments of the Law of Property (Miscellaneous Provisions) Act 1989

    3. 25.Amendments of the Financial Services and Markets Act 2000

    4. 26.Amendments of the Companies Act 2006

  5. PART 4

    1. 27.Amendments of the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001

    2. 28.Amendments of the Financial Services and Markets Act 2000 (Exemption) Order 2001

    3. 29.Amendments of the Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001

    4. 30.Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

    5. 31.Amendments of the Limited Liability Partnerships (Accounts and Audit) (Application of Companies Act 2006) Regulations 2008

  6. PART 5

    1. 32.Interim permission and interim variation of permission

    2. 33.Application of the Authority’s rules etc. to persons with an interim permission or interim variation of permission

    3. 34.Application of the Act etc.

  7. Signature

    1. SCHEDULE

      APPLICATION OF THE ACT AND THE PRINCIPAL ORDER TO PERSONS WITH AN INTERIM PERMISSION

      1. 1.Paragraphs 2 and 3 apply to every person with an...

      2. 2.For the purposes of section 20 (authorised persons acting without...

      3. 3.A person’s interim permission is to be disregarded for the...

      4. 4.Paragraphs 5 to 9 apply to a person who falls...

      5. 5.A person with an interim permission is to be treated...

      6. 6.For the purposes of section 21(2) (restrictions on financial promotion),...

      7. 7.Subsection (3)(a) of section 213 (the compensation scheme) does not...

      8. 8.In article 29 of the Principal Order (arranging deals with...

      9. 9.In sub-paragraph (a) of paragraph (4) of article 29A of...

  9. Explanatory Note

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