S. 403 applied (1.12.2001) by S.I. 1995/1537, reg. 23(6) (as amended (1.12.2001) by S.I. 2001/3649, arts. 1, 509(g))

S. 403 amended (1.12.2001) by S.I. 2001/2657, arts. 1(1), 10(8), 11(8), 13(1)(3) (which was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23); S.I. 2001/3538, art. 2(1)

S. 403 amended (1.12.2001) by S.I. 2001/3083, arts. 1(2), 10(8), 11(8), 13(1); S.I. 2001/3538, art. 2(1)

S. 403 modified (1.12.2001) by S.I. 2001/3646, arts. 1(1), 12(2), 13(3)

S. 403 applied (3.9.2001 for specified purposes otherwise 1.12.2001) by S.I. 2001/1228, regs. 1(2)(b)(c), 82 (with reg. 1(2)(3)); S.I. 2001/2632, art. 2(2), Sch. Pt. 2; S.I. 2001/3538, art. 2(1)

S. 403 applied (N.I.) (1.11.2004) by Open-Ended Investment Companies Regulations (Northern Ireland) 2004 (S.R. 2004/335), regs. 1(1)(b), 81 (with reg. 1(2))

S. 403 applied by Companies (Audit, Investigations and Community Enterprise) Act 2004 (c. 27), s. 15A(7) (as substituted (6.4.2008) by The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948), arts. 2(2), 3(1), Sch. 1 para. 232(2) (with arts. 6, 11, 12))

S. 403 applied (7.6.2010) by The Credit Rating Agencies Regulations 2010 (S.I. 2010/906), reg. 28

1925 c. 86.

1980 c. 43.

1995 c. 46.

1945 c. 15 (N.I.)

S.I. 1981/1675

S. 403 applied (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 57 (with regs. 52-58)

Words in s. 403(7) inserted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 40 (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)

Pt. 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)

S. 403 applied (8.12.2017) by The Risk Transformation Regulations 2017 (S.I. 2017/1212), regs. 1(2), 187 (with reg. 189)

S. 403 applied (with modifications) (1.1.2018) by The Packaged Retail and Insurance-based Investment Products Regulations 2017 (S.I. 2017/1127), reg. 1, Sch. 1 para. 7(2)

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), 38

Pt. 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), 24

S. 403 applied (with modifications) (1.1.2019) by The Securitisation Regulations 2018 (S.I. 2018/1288), reg. 1, Sch. 1 para. 8(6) (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, 27

Pt. 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)

S. 403 applied (with modifications) (31.5.2021) by The Civil Liability Act 2018 (Financial Conduct Authority) (Whiplash) Regulations 2021 (S.I. 2021/594), regs. 1, 2(9)(c)

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)

S. 403 applied (30.1.2024 for specified purposes, 1.11.2024 in so far as not already in force) by The Securitisation Regulations 2024 (S.I. 2024/102), reg. 2(1)(e)(2), Sch. 1 para. 13(4) (with reg. 52(3), Sch. 3); as amended by S.I. 2024/705, regs. 1(2), 2(2)

http://www.legislation.gov.uk/ukpga/2000/8/section/403Financial 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 Participation2024-11-01Part XXVII Offences Institution of proceedings
403 Jurisdiction and procedure in respect of offences.1

A fine imposed on an unincorporated association on its conviction of an offence is to be paid out of the funds of the association.

2

Proceedings for an offence alleged to have been committed by an unincorporated association must be brought in the name of the association (and not in that of any of its members).

3

Rules of court relating to the service of documents are to have effect as if the association were a body corporate.

4

In proceedings for an offence brought against an unincorporated association—

a

section 33 of the Criminal Justice Act 1925 and Schedule 3 to the Magistrates’ Courts Act 1980 (procedure) apply as they do in relation to a body corporate;

b

section 70 of the Criminal Procedure (Scotland) Act 1995 (procedure) applies as if the association were a body corporate;

c

section 18 of the Criminal Justice (Northern Ireland) Act 1945 and Schedule 4 to the Magistrates’ Courts (Northern Ireland) Order 1981 (procedure) apply as they do in relation to a body corporate.

5

Summary proceedings for an offence may be taken—

a

against a body corporate or unincorporated association at any place at which it has a place of business;

b

against an individual at any place where he is for the time being.

6

Subsection (5) does not affect any jurisdiction exercisable apart from this section.

7

Offence” means an offence under this Act or an offence under Part 7 of the Financial Services Act 2012 (offences relating to financial services).

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<note class="commentary C" eId="c1709741">
<p>
S. 403 applied (1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/1995/1537">S.I. 1995/1537</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/1995/1537/regulation/23/6">reg. 23(6)</ref>
(as amended (1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3649">S.I. 2001/3649</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3649/article/1">arts. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3649/article/509/g">509(g)</ref>
)
</p>
</note>
<note class="commentary C" eId="c1709742">
<p>
S. 403 amended (1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2657">S.I. 2001/2657</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2657/article/1/1">arts. 1(1)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2657/article/10/8">10(8)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2657/article/11/8">11(8)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2657/article/13/1/3">13(1)(3)</ref>
(which was revoked (8.10.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083">S.I. 2001/3083</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/1/2">arts. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/23">23</ref>
);
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538">S.I. 2001/3538</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538/article/2/1">art. 2(1)</ref>
</p>
<p>
S. 403 amended (1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083">S.I. 2001/3083</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/1/2">arts. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/10/8">10(8)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/11/8">11(8)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3083/article/13/1">13(1)</ref>
;
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538">S.I. 2001/3538</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538/article/2/1">art. 2(1)</ref>
</p>
<p>
S. 403 modified (1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3646">S.I. 2001/3646</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3646/article/1/1">arts. 1(1)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3646/article/12/2">12(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3646/article/13/3">13(3)</ref>
</p>
<p>
S. 403 applied (3.9.2001 for specified purposes otherwise 1.12.2001) by
<ref href="http://www.legislation.gov.uk/id/uksi/2001/1228">S.I. 2001/1228</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/1228/regulation/1/2/b/c">regs. 1(2)(b)(c)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/1228/regulation/82">82</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2001/1228/regulation/1/2/3">reg. 1(2)(3)</ref>
);
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2632">S.I. 2001/2632</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2632/article/2/2">art. 2(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/2632/schedule/part/2">Sch. Pt. 2</ref>
;
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538">S.I. 2001/3538</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2001/3538/article/2/1">art. 2(1)</ref>
</p>
</note>
<note class="commentary C" eId="c2075212">
<p>
S. 403 applied (N.I.) (1.11.2004) by Open-
<ref href="http://www.legislation.gov.uk/id/nisr/2004/335">Ended Investment Companies Regulations (Northern Ireland) 2004 (S.R. 2004/335)</ref>
,
<ref href="http://www.legislation.gov.uk/id/nisr/2004/335/regulation/1/1/b">regs. 1(1)(b)</ref>
,
<ref href="http://www.legislation.gov.uk/id/nisr/2004/335/regulation/81">81</ref>
(with
<ref href="http://www.legislation.gov.uk/id/nisr/2004/335/regulation/1/2">reg. 1(2)</ref>
)
</p>
</note>
<note class="commentary C" eId="c2076558">
<p>
S. 403 applied by
<ref href="http://www.legislation.gov.uk/id/ukpga/2004/27">Companies (Audit, Investigations and Community Enterprise) Act 2004 (c. 27)</ref>
,
<ref href="http://www.legislation.gov.uk/id/ukpga/2004/27/section/15A/7">s. 15A(7)</ref>
(as substituted (6.4.2008) by
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948">The Companies Act 2006 (Consequential Amendments etc) Order 2008 (S.I. 2008/948)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/article/2/2">arts. 2(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/article/3/1">3(1)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/schedule/1/paragraph/232/2">Sch. 1 para. 232(2)</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/article/6">arts. 6</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/article/11">11</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2008/948/article/12">12</ref>
))
</p>
</note>
<note class="commentary C" eId="c2077425">
<p>
S. 403 applied (7.6.2010) by
<ref href="http://www.legislation.gov.uk/id/uksi/2010/906">The Credit Rating Agencies Regulations 2010 (S.I. 2010/906)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2010/906/regulation/28">reg. 28</ref>
</p>
</note>
<note class="commentary M" eId="c1709743">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1925/86">1925 c. 86</ref>
.
</p>
</note>
<note class="commentary M" eId="c1709744">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1980/43">1980 c. 43</ref>
.
</p>
</note>
<note class="commentary M" eId="c1709745">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1995/46">1995 c. 46</ref>
.
</p>
</note>
<note class="commentary M" eId="c1709746">
<p>
<ref href="http://www.legislation.gov.uk/id/apni/1945/15">1945 c. 15 (N.I.)</ref>
</p>
</note>
<note class="commentary M" eId="c1709747">
<p>
<ref href="http://www.legislation.gov.uk/id/uksi/1981/1675">S.I. 1981/1675</ref>
</p>
</note>
<note class="commentary C" eId="key-313c416482b11c0a16a9f070caffad0c">
<p>
S. 403 applied (1.4.2013) by
<ref href="http://www.legislation.gov.uk/id/uksi/2013/504">The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/504/regulation/1/2">regs. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/504/regulation/57">57</ref>
(with
<rref from="http://www.legislation.gov.uk/id/uksi/2013/504/regulation/52" upTo="http://www.legislation.gov.uk/id/uksi/2013/504/regulation/58">regs. 52-58</rref>
)
</p>
</note>
<note class="commentary F" eId="key-b20fafa749d7d78830022e9e6f4ea06a">
<p>
Words in s. 403(7) inserted (1.4.2013) by
<ref href="http://www.legislation.gov.uk/id/ukpga/2012/21">Financial Services Act 2012 (c. 21)</ref>
,
<ref href="http://www.legislation.gov.uk/id/ukpga/2012/21/section/122/3">s. 122(3)</ref>
,
<ref href="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/9/paragraph/40">Sch. 9 para. 40</ref>
(with
<ref href="http://www.legislation.gov.uk/id/ukpga/2012/21/schedule/20">Sch. 20</ref>
);
<ref href="http://www.legislation.gov.uk/id/uksi/2013/423">S.I. 2013/423</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/423/article/3">art. 3</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/423/schedule">Sch.</ref>
</p>
</note>
<note class="commentary C" eId="key-c646dcf7d340dd84bebbb8250d8c9f47">
<p>
Pt. 27 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1882">The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1882/article/1/1">arts. 1(1)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1882/article/3/12">3(12)</ref>
</p>
</note>
<note class="commentary C" eId="key-f27ea322e6f3eccf38d6952f370ae745">
<p>
Pt. 27 applied (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1881">The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2013 (S.I. 2013/1881)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/2">arts. 1(2)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1881/article/1/6">(6)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2013/1881/article/50/3">50(3)</ref>
</p>
</note>
<note class="commentary C" eId="key-43e2681917d80f78f1c9fc61482e3c05">
<p>
S. 403 applied (8.12.2017) by
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1212">The Risk Transformation Regulations 2017 (S.I. 2017/1212)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1212/regulation/1/2">regs. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1212/regulation/187">187</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1212/regulation/189">reg. 189</ref>
)
</p>
</note>
<note class="commentary C" eId="key-c77bed27036d44b4788c7f4cb882af10">
<p>
S. 403 applied (with modifications) (1.1.2018) by
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1127">The Packaged Retail and Insurance-based Investment Products Regulations 2017 (S.I. 2017/1127)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1127/regulation/1">reg. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/1127/schedule/1/paragraph/7/2">Sch. 1 para. 7(2)</ref>
</p>
</note>
<note class="commentary C" eId="key-8696800328cdb10db7a1f54eaa9d2782">
<p>
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
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701">The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/2">reg. 1(2)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/3">(3)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/4">(4)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/1/6">(6)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/schedule/1/paragraph/23">Sch. 1 para. 23</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2017/701/regulation/7">reg. 7</ref>
)
</p>
</note>
<note class="commentary C" eId="key-1f949bbfc09751accb07f77f00ef122d">
<p>
Pt. 27 applied (with modifications) (3.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by
<ref href="http://www.legislation.gov.uk/id/uksi/2017/699">The Data Reporting Services Regulations 2017 (S.I. 2017/699)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/1/2/a">regs. 1(2)(a)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/1/2/b">(b)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2017/699/regulation/38">38</ref>
</p>
</note>
<note class="commentary C" eId="key-c8dfa39a8b2d4861ebd3ab6bd8a349ee">
<p>
Pt. 27 applied (with modifications) (27.2.2018) by
<ref href="http://www.legislation.gov.uk/id/uksi/2018/135">The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2018/135/regulation/1/2">regs. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2018/135/regulation/24">24</ref>
</p>
</note>
<note class="commentary C" eId="key-58103971c56cb97038d0c36b2a5f3c38">
<p>
S. 403 applied (with modifications) (1.1.2019) by
<ref href="http://www.legislation.gov.uk/id/uksi/2018/1288">The Securitisation Regulations 2018 (S.I. 2018/1288)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2018/1288/regulation/1">reg. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/8/6">Sch. 1 para. 8(6)</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/13">Sch. 1 paras. 13</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2018/1288/schedule/1/paragraph/14">14</ref>
)
</p>
</note>
<note class="commentary C" eId="key-f5fc5bad12ba0a3038c4378cd4ca0898">
<p>
Pt. 27 applied (with modifications) (10.6.2019) by
<ref href="http://www.legislation.gov.uk/id/uksi/2019/926">The Proxy Advisors (Shareholders Rights) Regulations 2019 (S.I. 2019/926)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/1">regs. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/20">20</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/926/regulation/27">27</ref>
</p>
</note>
<note class="commentary C" eId="key-f2beae1a79435a1ec54d7ceff083e39f">
<p>
Pt. 27 applied (with modifications) (31.12.2020) by
<ref href="http://www.legislation.gov.uk/id/uksi/2019/335">The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/335)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/335/regulation/1/1">regs. 1(1)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/335/regulation/77">77</ref>
(with savings in
<ref href="http://www.legislation.gov.uk/id/uksi/2019/680">S.I. 2019/680</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/11">reg. 11</ref>
);
<ref href="http://www.legislation.gov.uk/id/ukpga/2020/1">2020 c. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/ukpga/2020/1/schedule/5/paragraph/1/1">Sch. 5 para. 1(1)</ref>
</p>
</note>
<note class="commentary C" eId="key-cb7996d996f5ea669b13ee232aac28be">
<p>
Pt. 27 applied (with modifications) (31.12.2020) by
<ref href="http://www.legislation.gov.uk/id/uksi/2019/542">The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/542/regulation/1">regs. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/542/regulation/38">38</ref>
(with savings in
<ref href="http://www.legislation.gov.uk/id/uksi/2019/680">S.I. 2019/680</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2019/680/regulation/11">reg. 11</ref>
);
<ref href="http://www.legislation.gov.uk/id/ukpga/2020/1">2020 c. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/ukpga/2020/1/schedule/5/paragraph/1/1">Sch. 5 para. 1(1)</ref>
</p>
</note>
<note class="commentary C" eId="key-5bb1cefe1c857629d51cc14ed7d9e89b">
<p>
S. 403 applied (with modifications) (31.5.2021) by
<ref href="http://www.legislation.gov.uk/id/uksi/2021/594">The Civil Liability Act 2018 (Financial Conduct Authority) (Whiplash) Regulations 2021 (S.I. 2021/594)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2021/594/regulation/1">regs. 1</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2021/594/regulation/2/9/c">2(9)(c)</ref>
</p>
</note>
<note class="commentary C" eId="key-f876f136721887d7d46f78906efaf3d6">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/2000/8/part/27">Pt. 27</ref>
applied (with modifications) (5.4.2024) by
<ref href="http://www.legislation.gov.uk/id/uksi/2024/107">The Data Reporting Services Regulations 2024 (S.I. 2024/107)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/107/regulation/1/2">regs. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/107/regulation/24">24</ref>
;
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1382">S.I. 2023/1382</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1382/regulation/4/c">reg. 4(c)</ref>
</p>
</note>
<note class="commentary C" eId="key-f519869d295f77b7feb1e72f907e3674">
<p>
S. 403 applied (30.1.2024 for specified purposes, 1.11.2024 in so far as not already in force) by
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102">The Securitisation Regulations 2024 (S.I. 2024/102)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/2/1/e">reg. 2(1)(e)</ref>
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/2/2">(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102/schedule/1/paragraph/13/4">Sch. 1 para. 13(4)</ref>
(with
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102/regulation/52/3">reg. 52(3)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/102/schedule/3">Sch. 3</ref>
); as amended by
<ref href="http://www.legislation.gov.uk/id/uksi/2024/705">S.I. 2024/705</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/705/regulation/1/2">regs. 1(2)</ref>
,
<ref href="http://www.legislation.gov.uk/id/uksi/2024/705/regulation/2/2">2(2)</ref>
</p>
</note>
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<ukm:UnappliedEffect AffectedProvisions="s. 129(7)(a)" RequiresApplied="false" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" Comments="IP completion day" Notes="This amendment not applied to legislation.gov.uk. Reg. 5(12)(a)(b) omitted immediately before IP completion day by virtue of S.I. 2020/1385, regs. 1(4), 51(2)(f)" AffectingClass="UnitedKingdomStatutoryInstrument" AppendedCommentary="2020 c. 1, Sch. 5 para. 1(1)" EffectId="key-1b6544d7af86f0dee5166b56c2d79ff3" Row="69" AffectingEffectsExtent="E+W+S+N.I." AffectingURI="http://www.legislation.gov.uk/id/uksi/2019/310" Type="word inserted" AffectedExtent="E+W+S+N.I." URI="http://www.legislation.gov.uk/id/effect/key-1b6544d7af86f0dee5166b56c2d79ff3" Modified="2022-01-20T13:03:31Z" AffectingYear="2019" AffectedNumber="8" AffectingNumber="310" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingProvisions="reg. 5(12)(a)(i)" AffectedYear="2000">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-129-7-a" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/129/7/a" FoundRef="section-129">s. 129(7)(a)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>The Market Abuse (Amendment) (EU Exit) Regulations 2019</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="regulation-5-12-a-i" URI="http://www.legislation.gov.uk/id/uksi/2019/310/regulation/5/12/a/i">reg. 5(12)(a)(i)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="regulation-1-3" URI="http://www.legislation.gov.uk/id/uksi/2019/310/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 Notes="This amendment not applied to legislation.gov.uk. Reg. 5(12)(a)(b) omitted immediately before IP completion day by virtue of S.I. 2020/1385, regs. 1(4), 51(2)(f)" AppendedCommentary="2020 c. 1, Sch. 5 para. 1(1)" AffectedClass="UnitedKingdomPublicGeneralAct" Modified="2022-01-20T13:03:31Z" AffectingProvisions="reg. 5(12)(a)(ii)" AffectedProvisions="s. 129(7)(c)" AffectingEffectsExtent="E+W+S+N.I." Comments="IP completion day" EffectId="key-9f4d2636661658e584be975ef736bdfb" URI="http://www.legislation.gov.uk/id/effect/key-9f4d2636661658e584be975ef736bdfb" AffectingYear="2019" AffectedExtent="E+W+S+N.I." AffectingClass="UnitedKingdomStatutoryInstrument" RequiresApplied="false" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedYear="2000" Type="omitted and word" AffectingURI="http://www.legislation.gov.uk/id/uksi/2019/310" Row="70" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedNumber="8" AffectingNumber="310">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="section-129-7-c" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/section/129/7/c" FoundRef="section-129">s. 129(7)(c)</ukm:Section>
</ukm:AffectedProvisions>
<ukm:AffectingTitle>The Market Abuse (Amendment) (EU Exit) Regulations 2019</ukm:AffectingTitle>
<ukm:AffectingProvisions>
<ukm:Section Ref="regulation-5-12-a-ii" URI="http://www.legislation.gov.uk/id/uksi/2019/310/regulation/5/12/a/ii">reg. 5(12)(a)(ii)</ukm:Section>
</ukm:AffectingProvisions>
<ukm:CommencementAuthority>
<ukm:Section Ref="regulation-1-3" URI="http://www.legislation.gov.uk/id/uksi/2019/310/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 AffectingNumber="707" AffectingClass="UnitedKingdomStatutoryInstrument" AffectingEffectsExtent="E+W+S+N.I." Notes="This amendment not applied to legislation.gov.uk. Reg. 38(2)-(5)(7)(8) omitted (6.9.2019) by virtue of S.I. 2019/1234, regs. 1(2), 20" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" EffectId="key-a5848184868fb09bd796f96db116dad6" AffectedProvisions="Sch. 11A para. 5(3)" Row="180" AffectedYear="2000" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2022-01-20T13:03:31Z" AffectingYear="2019" Comments="IP completion day" AppendedCommentary="(with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, regs. 1(3), 29(2))); 2020 c. 1, Sch. 5 para. 1(1)" AffectingURI="http://www.legislation.gov.uk/id/uksi/2019/707" AffectingProvisions="reg. 38(5)(b)" AffectedNumber="8" URI="http://www.legislation.gov.uk/id/effect/key-a5848184868fb09bd796f96db116dad6" AffectedExtent="E+W+S+N.I." RequiresApplied="false" Type="inserted">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
<ukm:AffectedProvisions>
<ukm:Section Ref="schedule-11A" URI="http://www.legislation.gov.uk/id/ukpga/2000/8/schedule/11A">Sch. 11A </ukm:Section>
<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 AffectingClass="UnitedKingdomStatutoryInstrument" AffectingEffectsExtent="E+W+S+N.I." 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)" Modified="2022-01-20T13:03:31Z" AffectingProvisions="reg. 13(1)" AffectedExtent="E+W+S+N.I." Comments="IP completion day" AffectedProvisions="Sch. 17A para. 12" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedNumber="8" EffectId="key-939a37929efc4d8ee2527c61acc808b2" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" URI="http://www.legislation.gov.uk/id/effect/key-939a37929efc4d8ee2527c61acc808b2" Row="188" AffectedYear="2000" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingNumber="662" AffectingURI="http://www.legislation.gov.uk/id/uksi/2019/662" AffectingYear="2019" RequiresApplied="false" AppendedCommentary="(with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)" Type="words substituted">
<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 AffectingURI="http://www.legislation.gov.uk/id/ukpga/2023/29" AffectingClass="UnitedKingdomPublicGeneralAct" AffectingNumber="29" AffectedYear="2000" RequiresApplied="false" AffectingYear="2023" URI="http://www.legislation.gov.uk/id/effect/key-abb334800fe3123a9c453d646a5962c5" AffectingEffectsExtent="E+W+S+N.I." EffectId="key-abb334800fe3123a9c453d646a5962c5" AffectingProvisions="Sch. 10 para. 19(a)" AffectedProvisions="Sch. 2A para. 19(2)(b)(iia)" Type="inserted" AffectedNumber="8" AffectedClass="UnitedKingdomPublicGeneralAct" Modified="2024-11-05T10:37:54Z" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="2570">
<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 AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedProvisions="Pt. 20C" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedYear="2000" Modified="2022-02-02T20:32:30Z" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2016/14" AppendedCommentary="(as amended (26.6.2017) by S.I. 2017/692, reg. 1(2), Sch. 7 para. 3 (with regs. 8, 15, 36(2))" 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”." AffectingProvisions="s. 30(3)" URI="http://www.legislation.gov.uk/id/effect/key-9f40eff4aabeafb17afaec32bf3adb5c" Type="inserted" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="68" AffectedNumber="8" AffectedExtent="E+W+S+N.I." AffectingYear="2016" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingNumber="14" RequiresApplied="true" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" EffectId="key-9f40eff4aabeafb17afaec32bf3adb5c">
<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 AffectedClass="UnitedKingdomPublicGeneralAct" Type="power to apply (with modifications) conferred" Row="169" EffectId="key-6ca6fc8c64f818e454714c91e07697f2" AffectingProvisions="s. 23(10)" AffectedNumber="8" AffectingNumber="22" AffectingClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-6ca6fc8c64f818e454714c91e07697f2" RequiresApplied="true" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2022-01-20T13:03:31Z" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." AffectedProvisions="Sch. 2A 2B" AffectingYear="2021" 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 Type="inserted" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" EffectId="key-0140b0bab4e2adf4d449c7fca67df6a1" AffectedYear="2000" AffectedNumber="8" AffectingClass="UnitedKingdomPublicGeneralAct" Row="55" URI="http://www.legislation.gov.uk/id/effect/key-0140b0bab4e2adf4d449c7fca67df6a1" Modified="2023-08-29T11:14:38Z" AffectingProvisions="s. 22(2)" AffectingNumber="22" AffectingEffectsExtent="E+W+S+N.I." AffectedProvisions="s. 31(1)(aa)" AffectingYear="2021" RequiresApplied="true" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8">
<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" AffectingEffectsExtent="E+W+S+N.I." RequiresApplied="true" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingYear="2021" AffectingNumber="22" AffectedProvisions="s. 32A" Modified="2023-08-29T11:14:38Z" AffectedYear="2000" URI="http://www.legislation.gov.uk/id/effect/key-2c60a029232f828b8c5dbdfba9c798fd" AffectingProvisions="s. 22(3)" AffectedNumber="8" Row="56" Type="inserted" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" 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-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 Type="inserted" Row="57" AffectedNumber="8" RequiresApplied="true" URI="http://www.legislation.gov.uk/id/effect/key-e67f7d8b98a3b70a471b8a49d867eb84" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingProvisions="s. 22(4)" AffectedProvisions="s. 36A and cross-heading" AffectingYear="2021" AffectedYear="2000" AffectedClass="UnitedKingdomPublicGeneralAct" EffectId="key-e67f7d8b98a3b70a471b8a49d867eb84" AffectingNumber="22" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2023-08-29T11:14:38Z" AffectingEffectsExtent="E+W+S+N.I." 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-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 URI="http://www.legislation.gov.uk/id/effect/key-fcc0de8be4391c23dec47137ddcec2a4" AffectingNumber="22" AffectedProvisions="s. 32A" AffectedNumber="8" Modified="2023-08-29T11:14:38Z" Type="power to apply (with modifications) conferred" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." RequiresApplied="true" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Row="60" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingYear="2021" AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-fcc0de8be4391c23dec47137ddcec2a4" AffectingProvisions="s. 23(10)">
<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>
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</ukm:InForceDates>
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<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
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<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>
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<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>
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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:UnappliedEffect AffectingNumber="22" AffectedNumber="8" AffectingYear="2021" Modified="2023-08-29T11:14:38Z" Type="power to apply (with modifications) conferred" AffectedYear="2000" URI="http://www.legislation.gov.uk/id/effect/key-aac44921d3994325926d8f41aeb37761" Row="62" AffectingEffectsExtent="E+W+S+N.I." RequiresApplied="true" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="Sch. 2B" AffectingClass="UnitedKingdomPublicGeneralAct" EffectId="key-aac44921d3994325926d8f41aeb37761" AffectingProvisions="s. 23(10)">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
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<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>
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<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
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<ukm:Section Ref="section-23-10" URI="http://www.legislation.gov.uk/id/ukpga/2021/22/section/23/10">s. 23(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=""/>
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<ukm:UnappliedEffect AffectingEffectsExtent="E+W+S+N.I." AffectedClass="UnitedKingdomPublicGeneralAct" AffectingClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-146b1815125d882430250621162b81da" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedYear="2000" AffectingNumber="22" AffectedProvisions="Sch. 2B" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" Row="415" AffectingYear="2021" AffectingProvisions="Sch. 7" AffectedNumber="8" Type="inserted" EffectId="key-146b1815125d882430250621162b81da" RequiresApplied="true" Modified="2023-08-29T11:14:38Z">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
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<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>
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<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>
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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=""/>
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<ukm:UnappliedEffect AffectedClass="UnitedKingdomPublicGeneralAct" AffectedNumber="8" Modified="2023-08-29T11:14:38Z" AffectingProvisions="Sch. 8 para. 4" AffectingNumber="22" EffectId="key-3a025cb5620dc74f1b2f670bf6408371" AffectedProvisions="s. 71J and cross-heading" Row="418" AffectingEffectsExtent="E+W+S+N.I." AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedYear="2000" AffectingClass="UnitedKingdomPublicGeneralAct" AffectingYear="2021" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" RequiresApplied="true" Type="inserted" URI="http://www.legislation.gov.uk/id/effect/key-3a025cb5620dc74f1b2f670bf6408371">
<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:InForce Applied="false" Prospective="true" Qualification=""/>
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<ukm:UnappliedEffect AffectedProvisions="s. 214(5A)" EffectId="key-3f1bd96525c93768fff2391b9658bd21" Row="422" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" Type="inserted" RequiresApplied="true" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedNumber="8" AffectingNumber="22" AffectingEffectsExtent="E+W+S+N.I." AffectedYear="2000" AffectingYear="2021" Modified="2023-08-29T11:14:38Z" AffectedClass="UnitedKingdomPublicGeneralAct" URI="http://www.legislation.gov.uk/id/effect/key-3f1bd96525c93768fff2391b9658bd21" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingProvisions="Sch. 8 para. 8">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
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<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>
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<ukm:AffectingTitle>Financial Services Act 2021</ukm:AffectingTitle>
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<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: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:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect RequiresApplied="true" AffectingProvisions="Sch. 8 para. 10" AffectedNumber="8" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingClass="UnitedKingdomPublicGeneralAct" Type="inserted" Modified="2023-08-29T11:14:38Z" AffectingYear="2021" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" EffectId="key-6bd371d6bc6ef10b3da4519ea6aecf1b" Row="424" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedYear="2000" URI="http://www.legislation.gov.uk/id/effect/key-6bd371d6bc6ef10b3da4519ea6aecf1b" AffectingNumber="22" AffectedProvisions="s. 367A" AffectingEffectsExtent="E+W+S+N.I.">
<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>
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<ukm:CommencementAuthority>
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<ukm:InForce Applied="false" Prospective="true" Qualification=""/>
</ukm:InForceDates>
</ukm:UnappliedEffect>
<ukm:UnappliedEffect Row="429" AffectingProvisions="Sch. 8 para. 12(2)(b)" AffectingYear="2021" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingClass="UnitedKingdomPublicGeneralAct" Type="word inserted" AffectingNumber="22" AffectedNumber="8" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" Modified="2023-08-29T11:14:38Z" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." EffectId="key-a4e0c0b46392b2949d5da900239e2f19" RequiresApplied="true" AffectedProvisions="s. 395(13)(bc)-(be)" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" URI="http://www.legislation.gov.uk/id/effect/key-a4e0c0b46392b2949d5da900239e2f19">
<ukm:AffectedTitle>Financial Services and Markets Act 2000</ukm:AffectedTitle>
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<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>
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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>
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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 Modified="2023-08-29T11:14:38Z" URI="http://www.legislation.gov.uk/id/effect/key-d25543ee0cbc0ff32265d4bd6421bf49" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="s. 395(13)(h)(i)" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingNumber="22" AffectedYear="2000" AffectingEffectsExtent="E+W+S+N.I." AffectingProvisions="Sch. 8 para. 12(2)(c)" AffectedNumber="8" RequiresApplied="true" Row="432" Type="inserted" EffectId="key-d25543ee0cbc0ff32265d4bd6421bf49" AffectingYear="2021" AffectedClass="UnitedKingdomPublicGeneralAct">
<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>
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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 AffectingClass="UnitedKingdomPublicGeneralAct" AffectedProvisions="s. 395(14)" EffectId="key-7ac28ab801b516daf7fa1fb9eca8a371" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" URI="http://www.legislation.gov.uk/id/effect/key-7ac28ab801b516daf7fa1fb9eca8a371" RequiresApplied="true" AffectedYear="2000" AffectedNumber="8" Modified="2023-08-29T11:14:38Z" Type="inserted" AffectingProvisions="Sch. 8 para. 12(3)" AffectingNumber="22" AffectingEffectsExtent="E+W+S+N.I." AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedClass="UnitedKingdomPublicGeneralAct" AffectingYear="2021" Row="433">
<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: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 AffectedProvisions="Sch. 1ZA para. 32(c) and word" Type="inserted" Modified="2023-08-29T11:14:38Z" AffectingNumber="22" AffectingYear="2021" Row="441" AffectingEffectsExtent="E+W+S+N.I." AffectedYear="2000" URI="http://www.legislation.gov.uk/id/effect/key-351bc17b224a6085482c0de133c1bb4a" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2021/22" AffectingProvisions="Sch. 8 para. 18" EffectId="key-351bc17b224a6085482c0de133c1bb4a" AffectedNumber="8" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" AffectedClass="UnitedKingdomPublicGeneralAct" RequiresApplied="true">
<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 AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectedProvisions="Act" AffectedURI="http://www.legislation.gov.uk/id/ukpga/2000/8" RequiresApplied="true" AffectingProvisions="s. 79(4)" AffectingYear="2014" AffectingNumber="21" URI="http://www.legislation.gov.uk/id/effect/key-05ccd5d9047901e84edea944467e0ab2" AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectingClass="UnitedKingdomPublicGeneralAct" AffectedExtent="E+W+S+N.I." Row="5" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2014/21" AffectedNumber="8" AffectedYear="2000" AffectedClass="UnitedKingdomPublicGeneralAct" Type="power to apply conferred (temp. until 15.5.2039)" EffectId="key-05ccd5d9047901e84edea944467e0ab2" Modified="2022-01-20T13:03:31Z">
<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 Row="6" AffectedNumber="8" RequiresApplied="true" AffectedProvisions="Act" Modified="2022-01-20T13:03:31Z" AffectingURI="http://www.legislation.gov.uk/id/ukpga/2014/21" AffectingEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" AffectingProvisions="s. 81(10)" EffectId="key-b7ec36e10fbbebda09d50f93f0150ab8" AffectingClass="UnitedKingdomPublicGeneralAct" Type="power to apply conferred (temp. until 15.5.2039)" AffectingYear="2014" AffectedYear="2000" AffectingNumber="21" AffectedClass="UnitedKingdomPublicGeneralAct" AffectedExtent="E+W+S+N.I." AffectedEffectsExtent="S+A+M+E+A+S+A+F+F+E+C+T+E+D" URI="http://www.legislation.gov.uk/id/effect/key-b7ec36e10fbbebda09d50f93f0150ab8" 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)"/>
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<num>
<noteRef href="#key-f27ea322e6f3eccf38d6952f370ae745" marker="C8" class="commentary C"/>
<noteRef href="#key-c646dcf7d340dd84bebbb8250d8c9f47" marker="C7" class="commentary C"/>
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<noteRef href="#key-f876f136721887d7d46f78906efaf3d6" marker="C19" class="commentary C"/>
Part XXVII
</num>
<heading> Offences</heading>
<hcontainer name="crossheading" eId="part-XXVII-crossheading-institution-of-proceedings" period="#period1">
<heading> Institution of proceedings</heading>
<section eId="section-403" period="#period1">
<num>
<noteRef href="#c1709741" marker="C1" class="commentary C"/>
<noteRef href="#c1709742" marker="C2" class="commentary C"/>
<noteRef href="#c2075212" marker="C3" class="commentary C"/>
<noteRef href="#c2076558" marker="C4" class="commentary C"/>
<noteRef href="#c2077425" marker="C5" class="commentary C"/>
<noteRef href="#key-313c416482b11c0a16a9f070caffad0c" marker="C6" class="commentary C"/>
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<noteRef href="#key-c77bed27036d44b4788c7f4cb882af10" marker="C10" class="commentary C"/>
<noteRef href="#key-58103971c56cb97038d0c36b2a5f3c38" marker="C14" class="commentary C"/>
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<noteRef href="#key-f519869d295f77b7feb1e72f907e3674" marker="C20" class="commentary C"/>
403
</num>
<heading> Jurisdiction and procedure in respect of offences.</heading>
<subsection eId="section-403-1">
<num>1</num>
<content>
<p>A fine imposed on an unincorporated association on its conviction of an offence is to be paid out of the funds of the association.</p>
</content>
</subsection>
<subsection eId="section-403-2">
<num>2</num>
<content>
<p>Proceedings for an offence alleged to have been committed by an unincorporated association must be brought in the name of the association (and not in that of any of its members).</p>
</content>
</subsection>
<subsection eId="section-403-3">
<num>3</num>
<content>
<p>Rules of court relating to the service of documents are to have effect as if the association were a body corporate.</p>
</content>
</subsection>
<subsection eId="section-403-4">
<num>4</num>
<intro>
<p>In proceedings for an offence brought against an unincorporated association—</p>
</intro>
<paragraph eId="section-403-4-a">
<num>a</num>
<content>
<p>
section 33 of the
<noteRef href="#c1709743" marker="M1" class="commentary M"/>
Criminal Justice Act 1925 and Schedule 3 to the
<noteRef href="#c1709744" marker="M2" class="commentary M"/>
Magistrates’ Courts Act 1980 (procedure) apply as they do in relation to a body corporate;
</p>
</content>
</paragraph>
<paragraph eId="section-403-4-b">
<num>b</num>
<content>
<p>
section 70 of the
<noteRef href="#c1709745" marker="M3" class="commentary M"/>
Criminal Procedure (Scotland) Act 1995 (procedure) applies as if the association were a body corporate;
</p>
</content>
</paragraph>
<paragraph eId="section-403-4-c">
<num>c</num>
<content>
<p>
section 18 of the
<noteRef href="#c1709746" marker="M4" class="commentary M"/>
Criminal Justice (Northern Ireland) Act 1945 and Schedule 4 to the
<noteRef href="#c1709747" marker="M5" class="commentary M"/>
Magistrates’ Courts (Northern Ireland) Order 1981 (procedure) apply as they do in relation to a body corporate.
</p>
</content>
</paragraph>
</subsection>
<subsection eId="section-403-5">
<num>5</num>
<intro>
<p>Summary proceedings for an offence may be taken—</p>
</intro>
<paragraph eId="section-403-5-a">
<num>a</num>
<content>
<p>against a body corporate or unincorporated association at any place at which it has a place of business;</p>
</content>
</paragraph>
<paragraph eId="section-403-5-b">
<num>b</num>
<content>
<p>against an individual at any place where he is for the time being.</p>
</content>
</paragraph>
</subsection>
<subsection eId="section-403-6">
<num>6</num>
<content>
<p>Subsection (5) does not affect any jurisdiction exercisable apart from this section.</p>
</content>
</subsection>
<subsection eId="section-403-7">
<num>7</num>
<content>
<p>
<term refersTo="#term-offence">Offence</term>
” means an offence under this Act
<ins class="key-b20fafa749d7d78830022e9e6f4ea06a-1517413736974 first last">
<noteRef href="#key-b20fafa749d7d78830022e9e6f4ea06a" marker="F1" class="commentary attribute F"/>
or an offence under Part 7 of the Financial Services Act 2012 (offences relating to financial services)
</ins>
.
</p>
</content>
</subsection>
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