http://www.legislation.gov.uk/id/uksi/2001/544

http://www.legislation.gov.uk/uksi/2001/544/article/21/2005-10-01

The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

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Statute Law Database

FINANCIAL SERVICES AND MARKETS

2024-05-16

Expert Participation

2005-10-01

This Order specifies kinds of activities and investments for the purposes of the Financial Services and Markets Act 2000 (“the Act"). When an activity of a specified kind is carried on by way of business in relation to an investment of a specified kind, it is a “regulated activity" for the purposes of the Act. The Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001 (S.I. 2001/1177) makes provision as to the circumstances in which a person is, or is not, to be regarded as carrying on a regulated activity by way of business. Section 19 of the Act prohibits person who are not authorised or exempt from carrying on any regulated activity in the United Kingdom. Contravention of that prohibition is a criminal offence.

The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

Sch. 3 Pt. 1

para. 2(c)

The Financial Services and Markets Act 2000 (Commodity Derivatives and Emission Allowances) Order 2023

art. 2(5)

art. 1(2)

PART II SPECIFIED ACTIVITIES

Chapter VDealing in Investments as Agent

The activity

Dealing in investments as agent21

Buying, selling, subscribing for or underwriting securities or F1relevant investments (other than investments of the kind specified by article 87, or article 89 so far as relevant to that article) as agent is a specified kind of activity.

Annotations:

Amendments (Textual)

Words in art. 21 substituted (31.10.2004 for specified purposes, 14.1.2005 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2003 (S.I. 2003/1476), arts. 1(3), 4(1)