Financial Services and Markets Act 2000

[F1 313D Interpretation of Part 18A U.K.

In this Part—

• “financial instrument” has the meaning given in Article 4.1.17 of the markets in financial instruments directive;

• “institution” means—

  (a)

  a recognised investment exchange, other than an overseas investment exchange (within the meaning of Part 18);

  (b)

  an investment firm;

  (c)

  a credit institution authorised under the [F2 capital requirements directive], when carrying on investment services and activities; or

  (d)

  an institution which would satisfy the requirements for authorisation as a credit institution under that directive if it had its registered office (or if it does not have a registered office, its head office) in an EEA State,

  but does not include an EEA firm qualifying for authorisation under Schedule 3;

• “issuer”, in relation to a financial instrument, means the person who issued the instrument;

• “multilateral trading facility” has the meaning given in Article 4.1.15 of the markets in financial instruments directive;

• • [F3 “regulated information” has the meaning given in Article 2(1)(k) of the transparency obligations directive (as defined in section 103 of this Act);]

• • [F4 “regulatory information service” means—

    (a)

    a service approved by the [F5 FCA] to disseminate regulated information in accordance with rules made under section 89A of this Act, or

    (b)

    a service established in an EEA state other than the United Kingdom which is used for the dissemination of regulated information for the purposes of Article 21 of the transparency obligations directive;]

• “regulated market” has the meaning given in Article 4.1.14 of the markets in financial instruments directive.]

Textual Amendments

F1 Pt. 18A inserted (1.4.2007 for certain purposes and 1.11.2007 otherwise) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), regs. 1(2), 3(3), Sch. 3 para. 1

F2 Words in s. 313D substituted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 19

F3 S. 313D: definition of "regulated information" inserted (9.4.2010) by The Financial Services and Markets Act 2000 (Amendments to Part 18A etc.) Regulations 2010 (S.I. 2010/1193), reg. 6

F4 S. 313D: definition of "regulatory information service" inserted (9.4.2010) by The Financial Services and Markets Act 2000 (Amendments to Part 18A etc.) Regulations 2010 (S.I. 2010/1193), reg. 6

F5 Word in Pt. 18A substituted (1.4.2013) by Financial Services Act 2012 (c. 21), ss. 36(a), 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.