http://www.legislation.gov.uk/ukpga/2000/8/section/402Financial Services and Markets Act 2000An Act to make provision about the regulation of financial services and markets; to provide for the transfer of certain statutory functions relating to building societies, friendly societies, industrial and provident societies and certain other mutual societies; and for connected purposes.2000-06-15texttext/xmlenStatute Law Database2024-11-01Expert Participation2024-11-01 Part XXVII Offences Institution of proceedings Power of <Substitution ChangeId="key-891b0e6896b0c0c0f811f9970665c1c0-1516194970013" CommentaryRef="key-891b0e6896b0c0c0f811f9970665c1c0">FCA</Substitution> to institute proceedings for certain other offences.4021Except in Scotland, the FCA may institute proceedings for an offence under—aPart V of the Criminal Justice Act 1993 (insider dealing); . . . bprescribed regulations relating to money laundering. orcSchedule 7 to the Counter-Terrorism Act 2008 (terrorist financing or money laundering).2In exercising its power to institute proceedings for any such offence, the FCA must comply with any conditions or restrictions imposed in writing by the Treasury.3Conditions or restrictions may be imposed under subsection (2) in relation to—aproceedings generally; orbsuch proceedings, or categories of proceedings, as the Treasury may direct.S. 402 wholly in force at 1.12.2001; s. 402 not in force at Royal Assent see s. 431(2); s. 402(1)(b) in force for certain purposes at 25.2.2001 by S.I. 2001/516, art. 2(b), Sch. Pt. 2; s. 402 in force for specified purposes at 19.10.2001 by S.I. 2001/3436, art. 2; s. 402 in force in so far as not already in force at 1.12.2001 by S.I. 2001/3538, art. 2(1)1993 c. 36. Word in s. 402(1) omitted (27.11.2008) by virtue of Counter-Terrorism Act 2008 (c. 28), ss. 62, 100(2), Sch. 7 para. 33(4) (with s. 101(2), Sch. 7 para. 43)S. 402(1)(c) and preceding word inserted (27.11.2008) by Counter-Terrorism Act 2008 (c. 28), ss. 62, 100(2), Sch. 7 para. 33(4) (with s. 101(2), Sch. 7 para. 43)Word in s. 402 heading substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 39(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.Word in s. 402(1) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 39(2) (with Sch. 20); S.I. 2013/423, art. 3, Sch.Word in s. 402(2) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 39(2) (with Sch. 20); S.I. 2013/423, art. 3, Sch.Pt. 27 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882), arts. 1(1), 3(12)S. 402(1) applied (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), arts. 1(2)(6), 49Pt. 27 applied (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), arts. 1(2)(6), 50(3)Pt. 27 modified (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 1 para. 23 (with reg. 7)Pt. 27 applied (with modifications) (3.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Data Reporting Services Regulations 2017 (S.I. 2017/699), regs. 1(2)(a)(b), 38Pt. 27 applied (with modifications) (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 24S. 402 excluded (1.1.2019) by The Securitisation Regulations 2018 (S.I. 2018/1288), reg. 1, Sch. 1 para. 8(5) (with Sch. 1 paras. 13, 14)Pt. 27 applied (with modifications) (10.6.2019) by The Proxy Advisors (Shareholders Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 20, 27Pt. 27 applied (with modifications) (31.12.2020) by The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/335), regs. 1(1), 77 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)Pt. 27 applied (with modifications) (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 38 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)Pt. 27 applied (with modifications) (5.4.2024) by The Data Reporting Services Regulations 2024 (S.I. 2024/107), regs. 1(2), 24; S.I. 2023/1382, reg. 4(c)
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<ukm:Section Ref="schedule-11A-paragraph-5-3" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/11A/paragraph/5/3" FoundRef="schedule-11A-paragraph-5">para. 5(3)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="regulation-38-5-b" URI="http://www.legislation.gov.uk/id/uksi/2019/707/regulation/38/5/b">reg. 38(5)(b)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="regulation-1-2" URI="http://www.legislation.gov.uk/id/uksi/2019/707/regulation/1/2">reg. 1(2)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Date="2020-12-31" Qualification="wholly in force"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingProvisions="reg. 13(1)" Type="words substituted" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" RequiresApplied="false" AffectedProvisions="Sch. 17A para. 12" EffectId="key-939a37929efc4d8ee2527c61acc808b2" AffectedNumber="8" AffectedExtent="E+W+S+N.I." AffectingClass="UnitedKingdomStatutoryInstrument" URI="http://www.legislation.gov.uk/id/effect/key-939a37929efc4d8ee2527c61acc808b2" AffectingEffectsExtent="E+W+S+N.I." AffectingYear="2019" AffectedYear="2000" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="188" Comments="IP completion day" AffectingNumber="662" Modified="2022-01-20T13:03:31Z" Notes="This amendment not applied to legislation.gov.uk. Reg. 13(1) substituted (25.6.2020) by S.I. 2020/646, regs. 1(2)(c), 11(3)" AppendedCommentary="(with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)" AffectingURI="http://www.legislation.gov.uk/id/uksi/2019/662" AffectedClass="UnitedKingdomPublicGeneralAct">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-17A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/17A" err:Ref="Section missing in legislation" Missing="true">Sch. 17A </ukm:Section>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-17A-paragraph-12" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/17A/paragraph/12" err:Ref="Section missing in legislation" Missing="true">para. 12</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="regulation-13-1" URI="http://www.legislation.gov.uk/id/uksi/2019/662/regulation/13/1">reg. 13(1)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="regulation-1-3" URI="http://www.legislation.gov.uk/id/uksi/2019/662/regulation/1/3">reg. 1(3)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Date="2020-12-31" Qualification="wholly in force"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectedYear="2000" Row="1548" AffectingNumber="29" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2023/29" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="Sch. 2A para. 19(2)(b)(iia)" AffectedNumber="8" EffectId="key-abb334800fe3123a9c453d646a5962c5" AffectingEffectsExtent="E+W+S+N.I." Modified="2024-10-31T12:01:32Z" AffectingClass="UnitedKingdomPublicGeneralAct" Type="inserted" URI="http://www.legislation.gov.uk/id/effect/key-abb334800fe3123a9c453d646a5962c5" RequiresApplied="false" AffectingYear="2023" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingProvisions="Sch. 10 para. 19(a)">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="schedule-2A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2A">Sch. 2A </ukm:Section>
<ukm:Section Ref="schedule-2A-paragraph-19-2-b" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2A/paragraph/19/2/b">para. 19(2)(b)</ukm:Section>
<ukm:Section Ref="schedule-2A-paragraph-19-2-iia" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2A/paragraph/19/2/iia" FoundRef="schedule-2A-paragraph-19">(iia)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services and Markets Act 2023</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-10" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/schedule/10">Sch. 10 </ukm:Section>
<ukm:Section Ref="schedule-10-paragraph-19-a" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/schedule/10/paragraph/19/a">para. 19(a)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-86-1-e" URI="http://www.legislation.gov.uk/id/ukpga/2023/29/section/86/1/e">s. 86(1)(e)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Date="2023-06-29" Qualification="for specified purposes"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-9f40eff4aabeafb17afaec32bf3adb5c" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedYear="2000" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2016/14" Row="68" AffectingYear="2016" Modified="2022-02-02T20:32:30Z" AffectedProvisions="Pt. 20C" AppendedCommentary="(as amended (26.6.2017) by S.I. 2017/692, reg. 1(2), Sch. 7 para. 3 (with regs. 8, 15, 36(2))" AffectedClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-9f40eff4aabeafb17afaec32bf3adb5c" AffectingNumber="14" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" Type="inserted" AffectedExtent="E+W+S+N.I." Comments="Contains power; Before the prosp insertion of Pt. 20C comes into force, Pt. 20C heading and s. 333U are amended on 26.6.2017 by 2017 SI0692, reg. 36(2) and Sch. 7 para. 3. Please ensure these amendments are carried through into Pt. 20C when it is eventually brought into force: “(3) For the heading of Part 20C (as inserted by the Bank of England and Financial Services Act 2016), substitute “Politically exposed persons: money laundering and terrorist financing”. (4) In section 333U (guidance relating to money laundering and politically exposed persons)— (a) in the heading, after “Money laundering” insert “and terrorist financing”; and (b) in subsection (3)— (i) for “Secretary of State” substitute “Treasury”; and (ii) in paragraph (b), after “by the FCA” insert “or under the ombudsman scheme”." AffectedNumber="8" AffectingProvisions="s. 30(3)" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" RequiresApplied="true">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="part-20C" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/part/20C" err:Ref="Section missing in legislation" Missing="true">Pt. 20C</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Bank of England and Financial Services Act 2016</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-30-3" URI="http://www.legislation.gov.uk/id/ukpga/2016/14/section/30/3">s. 30(3)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-41-3" URI="http://www.legislation.gov.uk/id/ukpga/2016/14/section/41/3">s. 41(3)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingProvisions="s. 23(10)" Type="power to apply (with modifications) conferred" URI="http://www.legislation.gov.uk/id/effect/key-6ca6fc8c64f818e454714c91e07697f2" AffectingYear="2021" AffectingNumber="22" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedYear="2000" AffectingClass="UnitedKingdomPublicGeneralAct" Modified="2022-01-20T13:03:31Z" AffectedNumber="8" AffectedClass="UnitedKingdomPublicGeneralAct" EffectId="key-6ca6fc8c64f818e454714c91e07697f2" AffectingEffectsExtent="E+W+S+N.I." AffectedProvisions="Sch. 2A 2B" Row="169" RequiresApplied="true" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-2A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2A" err:Ref="Section missing in legislation" Missing="true">Sch. 2A</ukm:Section>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-2B" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2B" err:Ref="Section missing in legislation" Missing="true">2B</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-23-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/23/10">s. 23(10)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectedYear="2000" AffectingProvisions="s. 22(2)" Modified="2023-08-29T11:14:38Z" AffectingYear="2021" Row="55" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" RequiresApplied="true" Type="inserted" AffectingNumber="22" AffectedNumber="8" EffectId="key-0140b0bab4e2adf4d449c7fca67df6a1" AffectingEffectsExtent="E+W+S+N.I." AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="s. 31(1)(aa)" URI="http://www.legislation.gov.uk/id/effect/key-0140b0bab4e2adf4d449c7fca67df6a1">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-31-1-aa" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/31/1/aa" FoundRef="section-31">s. 31(1)(aa)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-22-2" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/22/2">s. 22(2)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect EffectId="key-2c60a029232f828b8c5dbdfba9c798fd" AffectedNumber="8" AffectedProvisions="s. 32A" Row="56" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingClass="UnitedKingdomPublicGeneralAct" RequiresApplied="true" Modified="2023-08-29T11:14:38Z" AffectingEffectsExtent="E+W+S+N.I." AffectingYear="2021" AffectedYear="2000" AffectingProvisions="s. 22(3)" Type="inserted" AffectingNumber="22" URI="http://www.legislation.gov.uk/id/effect/key-2c60a029232f828b8c5dbdfba9c798fd" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-32A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/32A" err:Ref="Section missing in legislation" Missing="true">s. 32A</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-22-3" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/22/3">s. 22(3)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedNumber="8" Modified="2023-08-29T11:14:38Z" AffectedYear="2000" AffectingProvisions="s. 22(4)" EffectId="key-e67f7d8b98a3b70a471b8a49d867eb84" RequiresApplied="true" Row="57" AffectingYear="2021" Type="inserted" AffectingEffectsExtent="E+W+S+N.I." AffectingClass="UnitedKingdomPublicGeneralAct" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="s. 36A and cross-heading" AffectingNumber="22" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" URI="http://www.legislation.gov.uk/id/effect/key-e67f7d8b98a3b70a471b8a49d867eb84">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-36A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/36A" err:Ref="Section missing in legislation" Missing="true">s. 36A</ukm:Section>
and cross-heading
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-22-4" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/22/4">s. 22(4)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-fcc0de8be4391c23dec47137ddcec2a4" AffectingNumber="22" AffectedYear="2000" AffectedProvisions="s. 32A" AffectingYear="2021" RequiresApplied="true" Type="power to apply (with modifications) conferred" AffectingEffectsExtent="E+W+S+N.I." AffectingProvisions="s. 23(10)" AffectedNumber="8" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2023-08-29T11:14:38Z" URI="http://www.legislation.gov.uk/id/effect/key-fcc0de8be4391c23dec47137ddcec2a4" Row="60">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-32A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/32A" err:Ref="Section missing in legislation" Missing="true">s. 32A</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-23-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/23/10">s. 23(10)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Row="61" EffectId="key-61b01e0bec5b297c5597aa9704f371c6" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." AffectingProvisions="s. 23(10)" AffectingNumber="22" AffectedNumber="8" AffectingYear="2021" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" RequiresApplied="true" Type="power to apply (with modifications) conferred" AffectedProvisions="Sch. 2A" URI="http://www.legislation.gov.uk/id/effect/key-61b01e0bec5b297c5597aa9704f371c6" Modified="2023-08-29T11:14:38Z" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-2A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2A" err:Ref="Section missing in legislation" Missing="true">Sch. 2A</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-23-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/23/10">s. 23(10)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Type="power to apply (with modifications) conferred" AffectingYear="2021" AffectedYear="2000" Row="62" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectedProvisions="Sch. 2B" AffectingProvisions="s. 23(10)" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" RequiresApplied="true" Modified="2023-08-29T11:14:38Z" AffectingNumber="22" AffectingEffectsExtent="E+W+S+N.I." URI="http://www.legislation.gov.uk/id/effect/key-aac44921d3994325926d8f41aeb37761" AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-aac44921d3994325926d8f41aeb37761" AffectedNumber="8">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-2B" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2B" err:Ref="Section missing in legislation" Missing="true">Sch. 2B</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-23-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/23/10">s. 23(10)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectedProvisions="Sch. 2B" Modified="2023-08-29T11:14:38Z" Type="inserted" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectedClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-146b1815125d882430250621162b81da" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." RequiresApplied="true" AffectingProvisions="Sch. 7" EffectId="key-146b1815125d882430250621162b81da" AffectingNumber="22" AffectingClass="UnitedKingdomPublicGeneralAct" Row="415" AffectedNumber="8" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingYear="2021">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="schedule-2B" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/2B" err:Ref="Section missing in legislation" Missing="true">Sch. 2B</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-7" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/7">Sch. 7</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
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<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-71J" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/71J" err:Ref="Section missing in legislation" Missing="true">s. 71J</ukm:Section>
and cross-heading
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<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-4" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/4">para. 4</ukm:Section>
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<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingYear="2021" URI="http://www.legislation.gov.uk/id/effect/key-3f1bd96525c93768fff2391b9658bd21" AffectedClass="UnitedKingdomPublicGeneralAct" RequiresApplied="true" EffectId="key-3f1bd96525c93768fff2391b9658bd21" AffectingProvisions="Sch. 8 para. 8" AffectingEffectsExtent="E+W+S+N.I." AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2023-08-29T11:14:38Z" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" Type="inserted" Row="422" AffectedNumber="8" AffectedProvisions="s. 214(5A)" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedYear="2000" AffectingNumber="22">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-214-5A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/214/5A" FoundRef="section-214">s. 214(5A)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/8">para. 8</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
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<ukm:UnappliedEffect EffectId="key-6bd371d6bc6ef10b3da4519ea6aecf1b" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingYear="2021" AffectingNumber="22" AffectingProvisions="Sch. 8 para. 10" AffectingEffectsExtent="E+W+S+N.I." Modified="2023-08-29T11:14:38Z" RequiresApplied="true" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedYear="2000" Type="inserted" AffectedProvisions="s. 367A" AffectedNumber="8" URI="http://www.legislation.gov.uk/id/effect/key-6bd371d6bc6ef10b3da4519ea6aecf1b" Row="424" AffectingClass="UnitedKingdomPublicGeneralAct">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-367A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/367A" err:Ref="Section missing in legislation" Missing="true">s. 367A</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/10">para. 10</ukm:Section>
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<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
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<ukm:UnappliedEffect AffectingClass="UnitedKingdomPublicGeneralAct" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedNumber="8" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" RequiresApplied="true" Modified="2023-08-29T11:14:38Z" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="429" EffectId="key-a4e0c0b46392b2949d5da900239e2f19" AffectedProvisions="s. 395(13)(bc)-(be)" AffectingYear="2021" Type="word inserted" AffectingNumber="22" AffectedYear="2000" URI="http://www.legislation.gov.uk/id/effect/key-a4e0c0b46392b2949d5da900239e2f19" AffectingProvisions="Sch. 8 para. 12(2)(b)" AffectingEffectsExtent="E+W+S+N.I.">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:SectionRange Start="section-395-13-bc" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/13/bc" End="section-395-13-be" UpTo="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/13/be" FoundEnd="section-395" MissingEnd="true">
<ukm:Section Ref="section-395-13-bc" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/13/bc">s. 395(13)(bc)</ukm:Section>
-
<ukm:Section Ref="section-395-13-be" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/13/be" FoundRef="section-395">(be)</ukm:Section>
</ukm:SectionRange>
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<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-12-2-b" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/12/2/b">para. 12(2)(b)</ukm:Section>
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<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectedProvisions="s. 395(13)(h)(i)" EffectId="key-d25543ee0cbc0ff32265d4bd6421bf49" AffectingEffectsExtent="E+W+S+N.I." AffectingProvisions="Sch. 8 para. 12(2)(c)" Modified="2023-08-29T11:14:38Z" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" RequiresApplied="true" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedNumber="8" AffectingYear="2021" Type="inserted" URI="http://www.legislation.gov.uk/id/effect/key-d25543ee0cbc0ff32265d4bd6421bf49" AffectingNumber="22" AffectingClass="UnitedKingdomPublicGeneralAct" Row="432" AffectedYear="2000">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-395-13-h-i" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/13/h/i" FoundRef="section-395">s. 395(13)(h)(i)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-12-2-c" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/12/2/c">para. 12(2)(c)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-7ac28ab801b516daf7fa1fb9eca8a371" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingYear="2021" AffectingProvisions="Sch. 8 para. 12(3)" AffectingEffectsExtent="E+W+S+N.I." Row="433" Modified="2023-08-29T11:14:38Z" AffectedNumber="8" AffectedYear="2000" RequiresApplied="true" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="s. 395(14)" AffectingNumber="22" Type="inserted" URI="http://www.legislation.gov.uk/id/effect/key-7ac28ab801b516daf7fa1fb9eca8a371" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-395-14" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/395/14" FoundRef="section-395">s. 395(14)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
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</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Type="inserted" Modified="2023-08-29T11:14:38Z" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" RequiresApplied="true" AffectedNumber="8" AffectedYear="2000" AffectingProvisions="Sch. 8 para. 18" Row="441" AffectingYear="2021" AffectedProvisions="Sch. 1ZA para. 32(c) and word" EffectId="key-351bc17b224a6085482c0de133c1bb4a" AffectingNumber="22" URI="http://www.legislation.gov.uk/id/effect/key-351bc17b224a6085482c0de133c1bb4a" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingClass="UnitedKingdomPublicGeneralAct" AffectingEffectsExtent="E+W+S+N.I.">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="schedule-1ZA" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/1ZA">Sch. 1ZA </ukm:Section>
<ukm:Section Ref="schedule-1ZA-paragraph-32-c" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/1ZA/paragraph/32/c" FoundRef="schedule-1ZA">para. 32(c)</ukm:Section>
and word
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-8" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8">Sch. 8 </ukm:Section>
<ukm:Section Ref="schedule-8-paragraph-18" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/schedule/8/paragraph/18">para. 18</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-49-5" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/49/5">s. 49(5)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingNumber="21" Type="power to apply conferred (temp. until 15.5.2039)" AffectedNumber="8" AffectedProvisions="Act" AffectedExtent="E+W+S+N.I." AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" Modified="2022-01-20T13:03:31Z" URI="http://www.legislation.gov.uk/id/effect/key-05ccd5d9047901e84edea944467e0ab2" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2014/21" AffectedYear="2000" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedClass="UnitedKingdomPublicGeneralAct" EffectId="key-05ccd5d9047901e84edea944467e0ab2" AffectingProvisions="s. 79(4)" RequiresApplied="true" Row="5" AffectingYear="2014">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>Act</ukm:AffectedProvisions>
<ukm:AffectingTitle>Water Act 2014</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-79-4" URI="http://www.legislation.gov.uk/id/ukpga/2014/21/section/79/4">s. 79(4)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-94-3" URI="http://www.legislation.gov.uk/id/ukpga/2014/21/section/94/3">s. 94(3)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification="with effect in accordance with" OtherQualification="s. 83(1)"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect EffectId="key-b7ec36e10fbbebda09d50f93f0150ab8" RequiresApplied="true" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedYear="2000" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2014/21" Row="6" AffectingProvisions="s. 81(10)" Modified="2022-01-20T13:03:31Z" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectingNumber="21" AffectedClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-b7ec36e10fbbebda09d50f93f0150ab8" AffectingYear="2014" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" Type="power to apply conferred (temp. until 15.5.2039)" AffectedNumber="8" AffectedExtent="E+W+S+N.I." AffectedProvisions="Act" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>Act</ukm:AffectedProvisions>
<ukm:AffectingTitle>Water Act 2014</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="section-81-10" URI="http://www.legislation.gov.uk/id/ukpga/2014/21/section/81/10">s. 81(10)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-94-3" URI="http://www.legislation.gov.uk/id/ukpga/2014/21/section/94/3">s. 94(3)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification="with effect in accordance with" OtherQualification="s. 83(1)"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectingProvisions="Sch. 29 para. 3(2)" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingClass="UnitedKingdomPublicGeneralAct" Created="2024-07-01T15:31:50Z" AffectedProvisions="s. 234I(9)" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="904" AffectedNumber="8" EffectId="key-fd568cacd551775f059585d7a7104604" RequiresApplied="true" URI="http://www.legislation.gov.uk/id/effect/ukpga-2024-13-gatg7ly5-904" AffectedYear="2000" AffectingYear="2024" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2024/13" AffectingNumber="13" Type="inserted">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-234I-9" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/234I/9" FoundRef="section-234I">s. 234I(9)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Digital Markets, Competition and Consumers Act 2024</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-29" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/schedule/29">Sch. 29 </ukm:Section>
<ukm:Section Ref="schedule-29-paragraph-3-2" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/schedule/29/paragraph/3/2">para. 3(2)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-339-1" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/section/339/1">s. 339(1)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect AffectedProvisions="s. 234J(6)" AffectedYear="2000" AffectedClass="UnitedKingdomPublicGeneralAct" Type="inserted" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingNumber="13" AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-c94c102b94bff398c285f0c68bceacf2" Row="905" AffectingYear="2024" Created="2024-07-01T15:31:50Z" AffectedNumber="8" URI="http://www.legislation.gov.uk/id/effect/ukpga-2024-13-gatg7ly5-905" AffectingProvisions="Sch. 29 para. 3(3)" RequiresApplied="true" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2024/13">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-234J-6" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/234J/6" FoundRef="section-234J">s. 234J(6)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Digital Markets, Competition and Consumers Act 2024</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-29" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/schedule/29">Sch. 29 </ukm:Section>
<ukm:Section Ref="schedule-29-paragraph-3-3" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/schedule/29/paragraph/3/3">para. 3(3)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-339-1" URI="http://www.legislation.gov.uk/id/ukpga/2024/13/section/339/1">s. 339(1)</ukm:Section>
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<ukm:InForceDates>
<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Created="2024-10-15T11:00:49Z" AffectedYear="2000" AffectingURI="http://www.legislation.gov.uk/id/uksi/2024/102" AffectingNumber="102" RequiresApplied="false" AffectingEffectsExtent="E+W+S+N.I." AffectedNumber="8" Row="103" EffectId="key-ed88e1aa30d0adc7d1880e40d06035a9" AffectingProvisions="reg. 34(7)(8)(f)" AffectedClass="UnitedKingdomPublicGeneralAct" AppliedModified="2024-11-01T18:11:28.371657Z" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingClass="UnitedKingdomStatutoryInstrument" AffectingYear="2024" URI="http://www.legislation.gov.uk/id/effect/uksi-2024-102-jwl9r655-103" AppendedCommentary="as amended by S.I. 2024/705, regs. 1(2), 2(2)" AffectedProvisions="s. 398(8)" Type="applied">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-398-8" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/398/8" FoundRef="section-398">s. 398(8)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>The Securitisation Regulations 2024</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="regulation-34-7" URI="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/34/7">reg. 34(7)</ukm:Section>
<ukm:Section Ref="regulation-34-8-f" URI="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/34/8/f">reg. 34(8)(f)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:Savings>
<ukm:Section Ref="regulation-52-3" URI="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/52/3">reg. 52(3)</ukm:Section>
<ukm:Section Ref="schedule-3" URI="http://www.legislation.gov.uk/id/uksi/2024/102/schedule/3">Sch. 3</ukm:Section>
</ukm:Savings>
<ukm:CommencementAuthority>
<ukm:Section Ref="regulation-2-1-e" URI="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/2/1/e">reg. 2(1)(e)</ukm:Section>
<ukm:Section Ref="regulation-2-2" URI="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/2/2">(2)</ukm:Section>
</ukm:CommencementAuthority>
<ukm:InForceDates>
<ukm:InForce Applied="true" Date="2024-01-30" Qualification="for specified purposes"/>
<ukm:InForce Applied="true" Date="2024-11-01" Qualification="in force in so far as not already in force"/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Type="words substituted" Notes="This amendment not applied to legislation.gov.uk. The Financial Services and Markets Act 2000 does not contain a section 427A." AffectingYear="2002" EffectId="key-c00514942197fe9622352b7129a7cb29" AffectedNumber="8" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2022-01-20T13:03:31Z" AffectedYear="2000" RequiresApplied="false" AffectingNumber="40" AffectedProvisions="s. 427A(3)" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedExtent="E+W+S+N.I." Row="160" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2002/40" AffectingProvisions="Sch. 17 para. 59" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-c00514942197fe9622352b7129a7cb29" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section xmlns:err="http://www.legislation.gov.uk/namespaces/error" Ref="section-427A-3" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/427A/3" err:Ref="Section missing in legislation" Missing="true">s. 427A(3)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>Enterprise Act 2002 (repealed)</ukm:AffectingTitle>
<ukm:AffectingTitle>Enterprise Act 2002</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="schedule-17" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/schedule/17">Sch. 17 </ukm:Section>
<ukm:Section Ref="schedule-17-paragraph-59" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/schedule/17/paragraph/59">para. 59</ukm:Section>
</ukm:AffectingProvisions>
<ukm:Savings>
<ukm:SectionRange Start="section-249-1" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/section/249/1" End="section-249-3" UpTo="http://www.legislation.gov.uk/id/ukpga/2002/40/section/249/3">
<ukm:Section Ref="section-249-1" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/section/249/1">s. 249(1)</ukm:Section>
-
<ukm:Section Ref="section-249-3" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/section/249/3">(3)</ukm:Section>
</ukm:SectionRange>
</ukm:Savings>
<ukm:CommencementAuthority>
<ukm:Section Ref="section-279" URI="http://www.legislation.gov.uk/id/ukpga/2002/40/section/279">s. 279</ukm:Section>
</ukm:CommencementAuthority>
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<ukm:InForce Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
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<ukm:Notes>
<ukm:Note IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/notes" DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/notes"/>
</ukm:Notes>
<ukm:Alternatives>
<ukm:Alternative Date="2008-03-02" URI="http://www.legislation.gov.uk/ukpga/2000/8/pdfs/ukpga_20000008_en.pdf" Title="Print Version"/>
</ukm:Alternatives>
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<ukm:TotalParagraphs Value="1883"/>
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<Primary>
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<Part DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/part/XXVII" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/part/XXVII" NumberOfProvisions="7" id="part-XXVII" RestrictExtent="E+W+S+N.I." RestrictStartDate="2024-11-01">
<Number>
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<CommentaryRef Ref="key-f876f136721887d7d46f78906efaf3d6"/>
Part XXVII
</Number>
<Title> Offences</Title>
<Pblock DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/part/XXVII/crossheading/institution-of-proceedings" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/part/XXVII/crossheading/institution-of-proceedings" NumberOfProvisions="3" id="part-XXVII-crossheading-institution-of-proceedings" RestrictExtent="E+W+S+N.I." RestrictStartDate="2024-11-01">
<Title> Institution of proceedings</Title>
<P1group ConfersPower="true" RestrictExtent="E+W+S+N.I." RestrictStartDate="2019-01-01">
<CommentaryRef Ref="key-f27ea322e6f3eccf38d6952f370ae745"/>
<CommentaryRef Ref="key-c646dcf7d340dd84bebbb8250d8c9f47"/>
<Title>
Power of
<Substitution ChangeId="key-891b0e6896b0c0c0f811f9970665c1c0-1516194970013" CommentaryRef="key-891b0e6896b0c0c0f811f9970665c1c0">FCA</Substitution>
to institute proceedings for certain other offences.
</Title>
<P1 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402" id="section-402">
<Pnumber>
<CommentaryRef Ref="c1709739"/>
<CommentaryRef Ref="key-138c9810978bfe98658f21f2360a5d88"/>
402
</Pnumber>
<P1para>
<P2 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/1" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/1" id="section-402-1" RestrictStartDate="2014-04-01">
<Pnumber>
<CommentaryRef Ref="key-eedd2de9fa459dafb843a9d79fa7a1bb"/>
1
</Pnumber>
<P2para>
<Text>
Except in Scotland, the
<Substitution ChangeId="key-1415a7ff6b554acb87a78b002e510dd7-1517413639522" CommentaryRef="key-1415a7ff6b554acb87a78b002e510dd7">FCA</Substitution>
may institute proceedings for an offence under—
</Text>
<P3 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/1/a" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/1/a" id="section-402-1-a">
<Pnumber>a</Pnumber>
<P3para>
<Text>
Part V of the
<CommentaryRef Ref="c1709740"/>
Criminal Justice Act 1993 (insider dealing);
<CommentaryRef Ref="c2076713"/>
. . .
</Text>
</P3para>
</P3>
<P3 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/1/b" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/1/b" id="section-402-1-b">
<Pnumber>b</Pnumber>
<P3para>
<Text>
prescribed regulations relating to money laundering.
<Addition ChangeId="d29p49067" CommentaryRef="c2076716"> or</Addition>
</Text>
</P3para>
</P3>
<P3 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/1/c" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/1/c" id="section-402-1-c">
<Pnumber>
<Addition ChangeId="d29p49067" CommentaryRef="c2076716">c</Addition>
</Pnumber>
<P3para>
<Text>
<Addition ChangeId="d29p49067" CommentaryRef="c2076716">Schedule 7 to the Counter-Terrorism Act 2008 (terrorist financing or money laundering).</Addition>
</Text>
</P3para>
</P3>
</P2para>
</P2>
<P2 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/2" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/2" id="section-402-2">
<Pnumber>2</Pnumber>
<P2para>
<Text>
In exercising its power to institute proceedings for any such offence, the
<Substitution ChangeId="key-adce8e1db7d9436b77b3887dac369d4d-1517413655928" CommentaryRef="key-adce8e1db7d9436b77b3887dac369d4d">FCA</Substitution>
must comply with any conditions or restrictions imposed in writing by the Treasury.
</Text>
</P2para>
</P2>
<P2 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/3" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/3" id="section-402-3">
<Pnumber>3</Pnumber>
<P2para>
<Text>Conditions or restrictions may be imposed under subsection (2) in relation to—</Text>
<P3 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/3/a" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/3/a" id="section-402-3-a">
<Pnumber>a</Pnumber>
<P3para>
<Text>proceedings generally; or</Text>
</P3para>
</P3>
<P3 DocumentURI="http://www.legislation.gov.uk/ukpga/2000/8/section/402/3/b" IdURI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/402/3/b" id="section-402-3-b">
<Pnumber>b</Pnumber>
<P3para>
<Text>such proceedings, or categories of proceedings, as the Treasury may direct.</Text>
</P3para>
</P3>
</P2para>
</P2>
</P1para>
</P1>
</P1group>
</Pblock>
</Part>
</Body>
</Primary>
<Commentaries>
<Commentary id="c1709739" Type="I">
<Para>
<Text>
S. 402 wholly in force at 1.12.2001; s. 402 not in force at Royal Assent see s. 431(2); s. 402(1)(b) in force for certain purposes at 25.2.2001 by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2001/516" id="c08534" Class="UnitedKingdomStatutoryInstrument" Year="2001" Number="516">S.I. 2001/516</Citation>
,
<CitationSubRef id="c08535" CitationRef="c08534" URI="http://www.legislation.gov.uk/id/uksi/2001/516/article/2/b" SectionRef="article-2-b">art. 2(b)</CitationSubRef>
,
<CitationSubRef id="c08536" CitationRef="c08534" URI="http://www.legislation.gov.uk/id/uksi/2001/516/schedule/part/2" Operative="true" SectionRef="schedule-part-2">Sch. Pt. 2</CitationSubRef>
; s. 402 in force for specified purposes at 19.10.2001 by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2001/3436" id="c08538" Class="UnitedKingdomStatutoryInstrument" Year="2001" Number="3436">S.I. 2001/3436</Citation>
,
<CitationSubRef id="c08539" CitationRef="c08538" URI="http://www.legislation.gov.uk/id/uksi/2001/3436/article/2" Operative="true" SectionRef="article-2">art. 2</CitationSubRef>
; s. 402 in force in so far as not already in force at 1.12.2001 by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2001/3538" id="c08541" Class="UnitedKingdomStatutoryInstrument" Year="2001" Number="3538">S.I. 2001/3538</Citation>
,
<CitationSubRef id="c08542" CitationRef="c08541" URI="http://www.legislation.gov.uk/id/uksi/2001/3538/article/2/1" Operative="true" SectionRef="article-2-1">art. 2(1)</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="c1709740" Type="M">
<Para>
<Text>
<Citation URI="http://www.legislation.gov.uk/id/ukpga/1993/36" id="c08543" Year="1993" Class="UnitedKingdomPublicGeneralAct" Number="36">1993 c. 36</Citation>
.
</Text>
</Para>
</Commentary>
<Commentary id="c2076713" Type="F">
<Para>
<Text>
Word in s. 402(1) omitted (27.11.2008) by virtue of Counter-
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2008/28" id="c08545" Year="2008" Class="UnitedKingdomPublicGeneralAct" Number="28" Title="Terrorism Act 2008">Terrorism Act 2008 (c. 28)</Citation>
,
<CitationSubRef id="c08546" CitationRef="c08545" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/62" SectionRef="section-62">ss. 62</CitationSubRef>
,
<CitationSubRef id="c08547" CitationRef="c08545" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/100/2" SectionRef="section-100-2">100(2)</CitationSubRef>
,
<CitationSubRef id="c08548" CitationRef="c08545" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/schedule/7/paragraph/33/4" SectionRef="schedule-7-paragraph-33-4" Operative="true">Sch. 7 para. 33(4)</CitationSubRef>
(with
<CitationSubRef id="c08549" CitationRef="c08545" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/101/2" SectionRef="section-101-2">s. 101(2)</CitationSubRef>
,
<CitationSubRef id="c08550" CitationRef="c08545" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/schedule/7/paragraph/43" SectionRef="schedule-7-paragraph-43">Sch. 7 para. 43</CitationSubRef>
)
</Text>
</Para>
</Commentary>
<Commentary id="c2076716" Type="F">
<Para>
<Text>
S. 402(1)(c) and preceding word inserted (27.11.2008) by Counter-
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2008/28" id="c08552" Year="2008" Class="UnitedKingdomPublicGeneralAct" Number="28" Title="Terrorism Act 2008">Terrorism Act 2008 (c. 28)</Citation>
,
<CitationSubRef id="c08553" CitationRef="c08552" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/62" SectionRef="section-62">ss. 62</CitationSubRef>
,
<CitationSubRef id="c08554" CitationRef="c08552" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/100/2" SectionRef="section-100-2">100(2)</CitationSubRef>
,
<CitationSubRef id="c08555" CitationRef="c08552" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/schedule/7/paragraph/33/4" SectionRef="schedule-7-paragraph-33-4" Operative="true">Sch. 7 para. 33(4)</CitationSubRef>
(with
<CitationSubRef id="c08556" CitationRef="c08552" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/section/101/2" SectionRef="section-101-2">s. 101(2)</CitationSubRef>
,
<CitationSubRef id="c08557" CitationRef="c08552" URI="http://www.legislation.gov.uk/id/ukpga/2008/28/schedule/7/paragraph/43" SectionRef="schedule-7-paragraph-43">Sch. 7 para. 43</CitationSubRef>
)
</Text>
</Para>
</Commentary>
<Commentary id="key-891b0e6896b0c0c0f811f9970665c1c0" Type="F">
<Para>
<Text>
Word in s. 402 heading substituted (1.4.2013) by
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2012/21" id="cu5bl6s92-00324" Class="UnitedKingdomPublicGeneralAct" Year="2012" Number="21" Title="Financial Services Act 2012">Financial Services Act 2012 (c. 21)</Citation>
,
<CitationSubRef id="cu5bl6s92-00325" CitationRef="cu5bl6s92-00324" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/section/122/3" SectionRef="section-122-3">s. 122(3)</CitationSubRef>
,
<CitationSubRef id="cu5bl6s92-00326" CitationRef="cu5bl6s92-00324" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/9/paragraph/39/3" SectionRef="schedule-9-paragraph-39-3" Operative="true">Sch. 9 para. 39(3)</CitationSubRef>
(with
<CitationSubRef id="cu5bl6s92-00327" CitationRef="cu5bl6s92-00324" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/20" SectionRef="schedule-20">Sch. 20</CitationSubRef>
);
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/423" id="cu5bl6s92-00328" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="423" Title="The Financial Services Act 2012 (Commencement No. 2) Order 2013">S.I. 2013/423</Citation>
,
<CitationSubRef id="cu5bl6s92-00329" CitationRef="cu5bl6s92-00328" URI="http://www.legislation.gov.uk/id/uksi/2013/423/article/3" SectionRef="article-3">art. 3</CitationSubRef>
,
<CitationSubRef id="cu5bl6s92-00330" CitationRef="cu5bl6s92-00328" URI="http://www.legislation.gov.uk/id/uksi/2013/423/schedule" SectionRef="schedule">Sch.</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-1415a7ff6b554acb87a78b002e510dd7" Type="F">
<Para>
<Text>
Word in s. 402(1) substituted (1.4.2013) by
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2012/21" id="cuphycjt2-00007" Class="UnitedKingdomPublicGeneralAct" Year="2012" Number="21" Title="Financial Services Act 2012">Financial Services Act 2012 (c. 21)</Citation>
,
<CitationSubRef id="cuphycjt2-00008" CitationRef="cuphycjt2-00007" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/section/122/3" SectionRef="section-122-3">s. 122(3)</CitationSubRef>
,
<CitationSubRef id="cuphycjt2-00009" CitationRef="cuphycjt2-00007" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/9/paragraph/39/2" SectionRef="schedule-9-paragraph-39-2" Operative="true">Sch. 9 para. 39(2)</CitationSubRef>
(with
<CitationSubRef id="cuphycjt2-00010" CitationRef="cuphycjt2-00007" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/20" SectionRef="schedule-20">Sch. 20</CitationSubRef>
);
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/423" id="cuphycjt2-00011" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="423" Title="The Financial Services Act 2012 (Commencement No. 2) Order 2013">S.I. 2013/423</Citation>
,
<CitationSubRef id="cuphycjt2-00012" CitationRef="cuphycjt2-00011" URI="http://www.legislation.gov.uk/id/uksi/2013/423/article/3" SectionRef="article-3">art. 3</CitationSubRef>
,
<CitationSubRef id="cuphycjt2-00013" CitationRef="cuphycjt2-00011" URI="http://www.legislation.gov.uk/id/uksi/2013/423/schedule" SectionRef="schedule">Sch.</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-adce8e1db7d9436b77b3887dac369d4d" Type="F">
<Para>
<Text>
Word in s. 402(2) substituted (1.4.2013) by
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2012/21" id="cuphycjt2-00020" Class="UnitedKingdomPublicGeneralAct" Year="2012" Number="21" Title="Financial Services Act 2012">Financial Services Act 2012 (c. 21)</Citation>
,
<CitationSubRef id="cuphycjt2-00021" CitationRef="cuphycjt2-00020" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/section/122/3" SectionRef="section-122-3">s. 122(3)</CitationSubRef>
,
<CitationSubRef id="cuphycjt2-00022" CitationRef="cuphycjt2-00020" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/9/paragraph/39/2" SectionRef="schedule-9-paragraph-39-2" Operative="true">Sch. 9 para. 39(2)</CitationSubRef>
(with
<CitationSubRef id="cuphycjt2-00023" CitationRef="cuphycjt2-00020" URI="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/20" SectionRef="schedule-20">Sch. 20</CitationSubRef>
);
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/423" id="cuphycjt2-00024" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="423" Title="The Financial Services Act 2012 (Commencement No. 2) Order 2013">S.I. 2013/423</Citation>
,
<CitationSubRef id="cuphycjt2-00025" CitationRef="cuphycjt2-00024" URI="http://www.legislation.gov.uk/id/uksi/2013/423/article/3" SectionRef="article-3">art. 3</CitationSubRef>
,
<CitationSubRef id="cuphycjt2-00026" CitationRef="cuphycjt2-00024" URI="http://www.legislation.gov.uk/id/uksi/2013/423/schedule" SectionRef="schedule">Sch.</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-c646dcf7d340dd84bebbb8250d8c9f47" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/1882" id="c25tt8jv3-00550" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="1882" Title="The Financial Services Act 2012 (Consumer Credit) Order 2013">The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882)</Citation>
,
<CitationSubRef CitationRef="c25tt8jv3-00550" id="c25tt8jv3-00551" URI="http://www.legislation.gov.uk/id/uksi/2013/1882/article/1/1" SectionRef="article-1-1">arts. 1(1)</CitationSubRef>
,
<CitationSubRef CitationRef="c25tt8jv3-00550" id="c25tt8jv3-00552" URI="http://www.legislation.gov.uk/id/uksi/2013/1882/article/3/12" SectionRef="article-3-12" Operative="true">3(12)</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-eedd2de9fa459dafb843a9d79fa7a1bb" Type="C">
<Para>
<Text>
S. 402(1) applied (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/1881" id="c25tt8jv3-01349" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="1881" Title="The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013">The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013 (S.I. 2013/1881)</Citation>
,
<CitationSubRef id="c25tt8jv3-01350" CitationRef="c25tt8jv3-01349" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/2" SectionRef="article-1-2">arts. 1(2)</CitationSubRef>
<CitationSubRef id="c25tt8jv3-01351" CitationRef="c25tt8jv3-01349" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/6" SectionRef="article-1-6">(6)</CitationSubRef>
,
<CitationSubRef id="c25tt8jv3-01352" CitationRef="c25tt8jv3-01349" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/49" SectionRef="article-49" Operative="true">49</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-f27ea322e6f3eccf38d6952f370ae745" Type="C">
<Para>
<Text>
Pt. 27 applied (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2013/1881" id="c25tt8jv3-01379" Class="UnitedKingdomStatutoryInstrument" Year="2013" Number="1881" Title="The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013">The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2013 (S.I. 2013/1881)</Citation>
,
<CitationSubRef CitationRef="c25tt8jv3-01379" id="c25tt8jv3-01380" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/2" SectionRef="article-1-2">arts. 1(2)</CitationSubRef>
<CitationSubRef CitationRef="c25tt8jv3-01379" id="c25tt8jv3-01381" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/6" SectionRef="article-1-6">(6)</CitationSubRef>
,
<CitationSubRef CitationRef="c25tt8jv3-01379" id="c25tt8jv3-01382" URI="http://www.legislation.gov.uk/id/uksi/2013/1881/article/50/3" SectionRef="article-50-3" Operative="true">50(3)</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-8696800328cdb10db7a1f54eaa9d2782" Type="C">
<Para>
<Text>
Pt. 27 modified (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2017/701" id="cisoeizu3-00348" Class="UnitedKingdomStatutoryInstrument" Year="2017" Number="701" Title="The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017">The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701)</Citation>
,
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00349" URI="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/2" SectionRef="regulation-1-2">reg. 1(2)</CitationSubRef>
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00350" URI="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/3" SectionRef="regulation-1-3">(3)</CitationSubRef>
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00351" URI="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/4" SectionRef="regulation-1-4">(4)</CitationSubRef>
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00352" URI="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/6" SectionRef="regulation-1-6">(6)</CitationSubRef>
,
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00353" URI="http://www.legislation.gov.uk/id/uksi/2017/701/schedule/1/paragraph/23" SectionRef="schedule-1-paragraph-23" Operative="true">Sch. 1 para. 23</CitationSubRef>
(with
<CitationSubRef CitationRef="cisoeizu3-00348" id="cisoeizu3-00354" URI="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/7" SectionRef="regulation-7">reg. 7</CitationSubRef>
)
</Text>
</Para>
</Commentary>
<Commentary id="key-1f949bbfc09751accb07f77f00ef122d" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (3.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2017/699" id="cisoeizu3-02325" Class="UnitedKingdomStatutoryInstrument" Year="2017" Number="699" Title="The Data Reporting Services Regulations 2017">The Data Reporting Services Regulations 2017 (S.I. 2017/699)</Citation>
,
<CitationSubRef CitationRef="cisoeizu3-02325" id="cisoeizu3-02326" URI="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/1/2/a" SectionRef="regulation-1-2-a">regs. 1(2)(a)</CitationSubRef>
<CitationSubRef CitationRef="cisoeizu3-02325" id="cisoeizu3-02327" URI="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/1/2/b" SectionRef="regulation-1-2-b">(b)</CitationSubRef>
,
<CitationSubRef CitationRef="cisoeizu3-02325" id="cisoeizu3-02328" URI="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/38" SectionRef="regulation-38" Operative="true">38</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-c8dfa39a8b2d4861ebd3ab6bd8a349ee" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (27.2.2018) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2018/135" id="cjgvqclw3-00511" Class="UnitedKingdomStatutoryInstrument" Year="2018" Number="135" Title="The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018">The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135)</Citation>
,
<CitationSubRef id="cjgvqclw3-00512" CitationRef="cjgvqclw3-00511" URI="http://www.legislation.gov.uk/id/uksi/2018/135/regulation/1/2" SectionRef="regulation-1-2">regs. 1(2)</CitationSubRef>
,
<CitationSubRef id="cjgvqclw3-00513" CitationRef="cjgvqclw3-00511" URI="http://www.legislation.gov.uk/id/uksi/2018/135/regulation/24" SectionRef="regulation-24" Operative="true">24</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-138c9810978bfe98658f21f2360a5d88" Type="C">
<Para>
<Text>
S. 402 excluded (1.1.2019) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2018/1288" id="cl3itvq63-00774" Class="UnitedKingdomStatutoryInstrument" Year="2018" Number="1288" Title="The Securitisation Regulations 2018">The Securitisation Regulations 2018 (S.I. 2018/1288)</Citation>
,
<CitationSubRef id="cl3itvq63-00775" CitationRef="cl3itvq63-00774" URI="http://www.legislation.gov.uk/id/uksi/2018/1288/regulation/1" SectionRef="regulation-1">reg. 1</CitationSubRef>
,
<CitationSubRef id="cl3itvq63-00776" CitationRef="cl3itvq63-00774" URI="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/8/5" SectionRef="schedule-1-paragraph-8-5" Operative="true">Sch. 1 para. 8(5)</CitationSubRef>
(with
<CitationSubRef id="cl3itvq63-00777" CitationRef="cl3itvq63-00774" URI="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/13" SectionRef="schedule-1-paragraph-13">Sch. 1 paras. 13</CitationSubRef>
,
<CitationSubRef id="cl3itvq63-00778" CitationRef="cl3itvq63-00774" URI="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/14" SectionRef="schedule-1-paragraph-14">14</CitationSubRef>
)
</Text>
</Para>
</Commentary>
<Commentary id="key-f5fc5bad12ba0a3038c4378cd4ca0898" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (10.6.2019) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2019/926" id="clp47bm23-00151" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="926" Title="The Proxy Advisors (Shareholders Rights) Regulations 2019">The Proxy Advisors (Shareholders Rights) Regulations 2019 (S.I. 2019/926)</Citation>
,
<CitationSubRef id="clp47bm23-00152" CitationRef="clp47bm23-00151" URI="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/1" SectionRef="regulation-1">regs. 1</CitationSubRef>
,
<CitationSubRef id="clp47bm23-00153" CitationRef="clp47bm23-00151" URI="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/20" SectionRef="regulation-20" Operative="true">20</CitationSubRef>
,
<CitationSubRef id="clp47bm23-00154" CitationRef="clp47bm23-00151" URI="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/27" SectionRef="regulation-27">27</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-f2beae1a79435a1ec54d7ceff083e39f" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (31.12.2020) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2019/335" id="c7wzkyzm4-08677" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="335" Title="The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019">The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/335)</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08677" id="c7wzkyzm4-08678" URI="http://www.legislation.gov.uk/id/uksi/2019/335/regulation/1/1" SectionRef="regulation-1-1">regs. 1(1)</CitationSubRef>
,
<CitationSubRef CitationRef="c7wzkyzm4-08677" id="c7wzkyzm4-08679" URI="http://www.legislation.gov.uk/id/uksi/2019/335/regulation/77" SectionRef="regulation-77" Operative="true">77</CitationSubRef>
(with savings in
<Citation URI="http://www.legislation.gov.uk/id/uksi/2019/680" id="c7wzkyzm4-08680" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="680">S.I. 2019/680</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08680" id="c7wzkyzm4-08681" URI="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/11" SectionRef="regulation-11">reg. 11</CitationSubRef>
);
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2020/1" id="c7wzkyzm4-08682" Year="2020" Class="UnitedKingdomPublicGeneralAct" Number="1">2020 c. 1</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08682" id="c7wzkyzm4-08683" URI="http://www.legislation.gov.uk/id/ukpga/2020/1/schedule/5/paragraph/1/1" SectionRef="schedule-5-paragraph-1-1">Sch. 5 para. 1(1)</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-cb7996d996f5ea669b13ee232aac28be" Type="C">
<Para>
<Text>
Pt. 27 applied (with modifications) (31.12.2020) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2019/542" id="c7wzkyzm4-08690" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="542" Title="The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019">The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542)</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08690" id="c7wzkyzm4-08691" URI="http://www.legislation.gov.uk/id/uksi/2019/542/regulation/1" SectionRef="regulation-1">regs. 1</CitationSubRef>
,
<CitationSubRef CitationRef="c7wzkyzm4-08690" id="c7wzkyzm4-08692" URI="http://www.legislation.gov.uk/id/uksi/2019/542/regulation/38" SectionRef="regulation-38" Operative="true">38</CitationSubRef>
(with savings in
<Citation URI="http://www.legislation.gov.uk/id/uksi/2019/680" id="c7wzkyzm4-08693" Class="UnitedKingdomStatutoryInstrument" Year="2019" Number="680">S.I. 2019/680</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08693" id="c7wzkyzm4-08694" URI="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/11" SectionRef="regulation-11">reg. 11</CitationSubRef>
);
<Citation URI="http://www.legislation.gov.uk/id/ukpga/2020/1" id="c7wzkyzm4-08695" Year="2020" Class="UnitedKingdomPublicGeneralAct" Number="1">2020 c. 1</Citation>
,
<CitationSubRef CitationRef="c7wzkyzm4-08695" id="c7wzkyzm4-08696" URI="http://www.legislation.gov.uk/id/ukpga/2020/1/schedule/5/paragraph/1/1" SectionRef="schedule-5-paragraph-1-1">Sch. 5 para. 1(1)</CitationSubRef>
</Text>
</Para>
</Commentary>
<Commentary id="key-f876f136721887d7d46f78906efaf3d6" Type="C">
<Para>
<Text>
<CitationSubRef id="ccd8e1202404101018097670100" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/part/27" SectionRef="part-27">Pt. 27</CitationSubRef>
applied (with modifications) (5.4.2024) by
<Citation URI="http://www.legislation.gov.uk/id/uksi/2024/107" id="d10e4" Class="UnitedKingdomStatutoryInstrument" Year="2024" Number="107" Title="The Data Reporting Services Regulations 2024">The Data Reporting Services Regulations 2024 (S.I. 2024/107)</Citation>
,
<CitationSubRef id="ccd8e7202404101018097670100" CitationRef="d10e4" URI="http://www.legislation.gov.uk/id/uksi/2024/107/regulation/1/2" SectionRef="regulation-1-2">regs. 1(2)</CitationSubRef>
,
<CitationSubRef id="ccd8e10202404101018097670100" CitationRef="d10e4" URI="http://www.legislation.gov.uk/id/uksi/2024/107/regulation/24" Operative="true" SectionRef="regulation-24">24</CitationSubRef>
;
<Citation URI="http://www.legislation.gov.uk/id/uksi/2023/1382" id="d10e13" Class="UnitedKingdomStatutoryInstrument" Year="2023" Number="1382">S.I. 2023/1382</Citation>
,
<CitationSubRef id="ccd8e16202404101018097670100" CitationRef="d10e13" URI="http://www.legislation.gov.uk/id/uksi/2023/1382/regulation/4/c" Operative="true" SectionRef="regulation-4-c">reg. 4(c)</CitationSubRef>
</Text>
</Para>
</Commentary>
</Commentaries>
</Legislation>