Introductory Text
PART 1 Introductory
1.Citation, commencement and interpretation
PART 2 Permission to carry on regulated activities
2.Permission
3.Requirements
4.Prohibitions, restrictions and assets requirements
5.Applications made before the commencement date to vary or cancel a requirement
6.Variation of permission at request of authorised person
7.Variation or cancellation of requirement in force before the commencement date
8.Variation or cancellation on initiative of regulator
9.Exercise of power in support of overseas regulator
10.Determination of applications
11.Notification of ESMA
12.Notification of EBA
PART 3 Performance of regulated activities
13.Approval for particular arrangements
PART 4 Lloyd’s (Part 19 of FSMA)
14.The Society: authorisation and permission
PART 5
CHAPTER 1 EEA Passport rights (Schedule 3)
15.Firms qualifying for authorisation
16.Ending of authorisation of an EEA firm
17.EEA firms seeking to establish a branch
18.EEA firms seeking to provide services
19.UK firm seeking to establish a branch
20.UK firm seeking to provide services
CHAPTER 2 Treaty rights (Schedule 4)
21.Treaty firms qualifying for authorisation
22.Ending of authorisation of a Treaty firm
23.Exercise of Treaty rights
Signature
Explanatory Note