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Financial Services and Markets Act 2000
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Changes over time for: Paragraph 5
Version Superseded: 11/01/2005
Alternative versions:
- 25/02/2001- Amendment
- 13/02/2004- Amendment
- 01/04/2004
Point in time - 11/01/2005- Amendment
- 14/01/2005- Amendment
- 01/01/2007- Amendment
- 01/04/2007- Amendment
- 10/12/2007- Amendment
- 01/07/2011- Amendment
- 20/07/2012- Amendment
- 18/07/2013- Amendment
- 22/07/2013- Amendment
- 01/01/2014- Amendment
- 20/04/2015- Amendment
- 21/12/2015- Amendment
- 01/01/2016- Amendment
- 21/03/2016- Amendment
- 01/10/2018- Amendment
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Financial Services and Markets Act 2000, Paragraph 5 is up to date with all changes known to be in force on or before 22 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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This section has no associated Explanatory Notes
5“EEA firm” means any of the following if it does not have its [F1relevant office ] in the United Kingdom—
(a)an investment firm (as defined in Article 1.2 of the investment services directive) which is authorised (within the meaning of Article 3) by its home state regulator;
[F2(b)a credit institution (as defined in Article 1 of the banking consolidation directive) which is authorised (within the meaning of Article 1) by its home state regulator;]
[F3(c)a financial institution (as defined in Article 1 of the banking consolidation directive) which is a subsidiary of the kind mentioned in Article 19 and which fulfils the conditions in Articles 18 and 19; [F4or ]]
(d)an undertaking pursuing the activity of direct insurance (within the meaning of Article 1 of the first life insurance directive or of the first non-life insurance directive) which has received authorisation under Article 6 from its home state regulator. [F5; [F6or]
(e)an insurance intermediary (as defined in Article 2.5 of the insurance mediation directive), or a reinsurance intermediary (as defined in Article 2.6) which is registered with its home state regulator under Article 3. ][F7; or
(f)a management company (as defined in Article 1a.2 of the UCITS directive) which is authorised (within the meaning of Article 5) by its home state regulator.]
Textual Amendments
F1Words in Sch. 3 para. 5 substituted (14.1.2005) by The Insurance Mediation Directive (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/1473). {reg. 2(c)(i)}
F2Sch. 3 para. 5(b) substituted (22.11.2000) by S.I. 2000/2952, reg. 8(5)(c)(i)
F3Sch. 3 para. 5(c) substituted (22.11.2000) by S.I. 2000/2952, reg. 8(5)(c)(ii)
F4Word in Sch. 3 para. 5(c) omitted (14.1.2005) by virtue of The Insurance Mediation Directive (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/1473). {reg. 2(c)(ii)}
F5Sch. 3 para. 5(e) and preceding word inserted (14.1.2005) by The Insurance Mediation Directive (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/1473), reg. 2(c)(iii)
F6Word in Sch. 3 para. 5(d) omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), reg. 2(2)(c)(i)
F7Sch. 3 para. 5(f) and preceding word inserted (13.2.2004) by The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), reg. 2(2)(c)(ii)
Commencement Information
I1Sch. 3 Pt. I para. 5 wholly in force at 1.12.2001; Sch. 3 Pt. I para. 5 not in force at Royal Assent see s. 431(2); Sch. 3 Pt. I para. 5 in force for certain purposes at 25.2.2001 by S.I. 2001/516, art. 2(b)(c), Sch. Pts. 2, 3; Sch. 3 Pt. I para. 5 in force for specified purposes at 18.6.2001 by S.I. 2001/1820, art. 2 Sch.; Sch. 3 Pt. I para. 5 in force in so far as not already in force at 1.12.2001 by S.I. 2001/3538, art. 2(1)
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