Textual Amendments
F1Sch. 6B inserted (29.8.2023) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 3; S.I. 2023/779, reg. 4(aaa)
1The matters with respect to which provision may be made under section 71K in respect of activities include (but are not limited to) those described in general terms in this Schedule.
2Activities related to entering into derivative contracts (including those contracts not cleared by a central counterparty).
3Holding positions in commodity derivatives.
4Engaging in short selling in relation to specified financial instruments (“shorted instruments”) including where—
(a)a person enters into a transaction which creates, or relates to, another financial instrument, and
(b)the effect (or one of the effects) of the transaction is to confer a financial advantage on that person in the event of a decrease in the price or value of the shorted instrument.
5Acting as one of the following in a securitisation—
(a)an originator,
(b)a sponsor,
(c)an original lender, or
(d)a securitisation special purpose entity.
6Selling a securitisation position to a retail client located in the United Kingdom.
7Offering securities to the public.
8Applying for, securing or maintaining the admission of securities to trading on a securities market.
9Issuing an instrument which references a benchmark.
10Determining the amount payable under an instrument or financial contract by reference to a benchmark or otherwise being a party to a financial contract which references a benchmark.
11Measuring the performance of an investment fund through a benchmark.
12Acting as a “benchmark contributor” including persons in the United Kingdom or a third country.
13Contributing data to a regulated benchmark administrator for the purpose of the administrator determining a benchmark.]