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
2012-01-08
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 VIArranging Deals in Investments
Exclusions
F1Arranging contracts F5, plans or agreements to which the arranger is a party28A
1
There are excluded from F2articles 25A(1), 25B(1) F6, 25C(1) and 25E(1) any arrangements—
a
for a F3contract F7, plan or agreement into which the person making the arrangements enters or is to enter; or
b
for a variation of a F3contract F7, plan or agreement to which that person is (or is to become) a party.
2
There are excluded from F4articles 25A(2), 25B(2) F8, 25C(2) and 25E(2) any arrangements which a person makes with a view to contracts F9, plans or agreements into which he enters or is to enter.