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Statutory Instruments

2013 No. 419

Financial Services And Markets

The Financial Services and Markets Act 2000 [F1(Qualifying Provisions)F1] Order 2013cross-notes

Made

26th February 2013

Laid before Parliament

27th February 2013

Coming into force

1st April 2013

M1,M2The Treasury, in the exercise of the powers conferred on them by the following sections of the Financial Services and Markets Act 2000 : 1A(6)(d); 1L(2)(b); 2A(6)(d); 39(4)(b); 66(2)(b), (2A)(b); 168(4)(k); 204A(2), (4); 293A; 296(1A), 297(2A)(c); 312E(2), (3); 380(6)(a), (9); 382(9)(a), (12); 384(7)(a), (10); and paragraph 23(2) of Schedule 1ZA, paragraph 31(2) of Schedule 1ZB and paragraphs 14(2)(d), 26(2)(c), 30(c) and 36(2)(b) of Schedule 17A to that Act make this Order.

Citation, commencement and interpretation

1.—(1) This Order may be cited as the Financial Services and Markets Act 2000[F2 (Qualifying Provisions)F2] Order 2013 and comes into force on 1st April 2013.

(2) For the purposes of this Order—

“ the Act ” means the Financial Services and Markets Act 2000 ;

F3...

[F4 “ the EU Benchmarks Regulation 2016 ” means Regulation EU 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014 ; F4]

[[F5,F6 “ the EU Prospectus Regulation ” means Regulation (EU) No 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC ; F6,F5]]

F7...

“ the European market infrastructure regulation ” means Regulation (EU) 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories M3[F8 ;

“ EuSEF Regulation ” means Regulation ( EU ) No 346/2013 of the European Parliament and the Council of 17 April 2013 on European social entrepreneurship funds [F9 as amended by Regulation (EU) No 2017/1991 of the European Parliament and of the Council of 25 October 2017 amending Regulation (EU) No 345/2013 on European venture capital funds and Regulation (EU) No 346/2013 on European social entrepreneurship funds F9] ;

“ EuVECA Regulation ” means Regulation ( EU ) No 345/2013 of the European Parliament and the Council of 17 April 2013 on European venture capital funds [F10 as amended by Regulation (EU) No 2017/1991 of the European Parliament and of the Council of 25 October 2017 amending Regulation (EU) No 345/2013 on European venture capital funds and Regulation (EU) No 346/2013 on European social entrepreneurship funds F10,F8]] ;

[F11 “ markets in financial instruments regulation ” means Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 ; F11]

[F12 “MMF Regulation” means Regulation ( EU ) No 2017/1131 of the European Parliament and of the Council of 14th June 2017 on Money Market Funds; F12]

[F13 “ PRIIPs regulation ” means Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products ; F13]

[F14recovery and resolution directive” means Directive 2014/59/EU of the European Parliament and of the Council of 15th May 2014 establishing a framework for the recovery and resolution of credit institutions and investment firmsF14] ;

[F15 “UK auctioning regulations” means the Greenhouse Gas Emissions Trading Scheme Auctioning Regulations 2021 ; F15]

[F16 (3) Any reference in this Order to an EU Regulation, or part of an EU Regulation, is to be read as a reference to that EU Regulation, or that part of that EU Regulation, as amended from time to time.F16]

[F17 (4) In this Order a reference to any directly applicable regulation made under an EU directive (“the parent EU Directive”) is a reference to—

(a)any EU regulation, originally made under dfnthe parent EU Directive, which is retained direct EU legislation,

(b)any technical standards made in relation to dfnthe parent EU Directive in accordance with Chapter 2A of Part 9A of the Act, and

(c)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to make a directly applicable regulation under dfnthe parent EU Directive by regulations made under section 8 of the European Union (Withdrawal) Act 2018.

(5) [F18 Subject to paragraph (5A), in F18] this Order a reference to any directly applicable regulation (or EU regulation) made under an EU regulation (“the parent Regulation”) is a reference to—

(a)any EU regulation, originally made under the parent Regulation, which is retained direct EU legislation;

(b)technical standards made in relation to the parent Regulation in accordance with Chapter 2A of Part 9A of the Act, and

(c)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to make a directly applicable regulation under the parent Regulation by regulations made under section 8 of the European Union (Withdrawal) Act 2018.

(5A) In this Order a reference to any directly applicable regulation (or EU regulation) made under [F19 the PRIIPs regulation, F19] the markets in financial instruments regulation or the European market infrastructure regulation (“ the parent Regulation ”) is a reference to—

(a)any EU regulation, originally made under the parent Regulation, which is retained direct EU legislation;

(b)technical standards made in relation to the parent Regulation in accordance with Chapter 2A of Part 9A of the Act;

(c)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to make a directly applicable regulation under the parent Regulation by regulations made under section 8 of the European Union (Withdrawal) Act 2018, and

(d)rules made under the parent Regulation.

(6) In this Order a reference to any directly applicable regulation made under Article 4(9) or 4(10) of the SFT Regulation is a reference to—

(a)any EU regulation, originally made under those Articles, which is retained direct EU legislation;

(b)technical standards made in relation to those Articles in accordance with Chapter 2A of Part 9A of the Act, and

(c)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to make a directly applicable regulation under those Articles by regulations made under section 8 of the European Union (Withdrawal) Act 2018.

(7) In articles 2(2)(m), 3(2)(p) and (3)(n), 5(2)(p) and (5)(o) and 6(2)(r) the reference to any directly applicable decision made under an EU regulation is a reference to—

(a)a decision made under that regulation which is retained direct EU legislation, and

(b)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to make a directly applicable decision under that regulation by regulations made under section 8 of the European Union (Withdrawal) Act 2018.F17]

[F20Qualifying provisionsF20] : general

2.—(1) The instruments listed in paragraph (2) are specified[F21 qualifying provisionsF21] for the purposes of sections 1A(6)(d), 1L(2)(b), 39(4)(b), [F2266A(4)(b)F22] and 168(4)(k) of the Act.

(2) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F23 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F23]

(b)any directly applicable regulation made under the UCITS directive;

[F24 (ba)any directly applicable regulation made under the alternative investment fund managers directive;F24]

(c)the emission allowance auctioning regulation;

[F25 (ca)the UK auctioning regulations;F25]

(d)the European market infrastructure regulation;

(e)any directly applicable regulation made under the European market infrastructure regulation;

[F26 (f)the EuSEF Regulation and any directly applicable regulation made under that Regulation;

(g)the EuVECA Regulation and any directly applicable regulation made under that RegulationF26] ;

[F27 (h)the CSD regulation and any directly applicable regulation made under that RegulationF27] ;

F28(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F29 (j)the market abuse regulation and any directly applicable regulation made under that RegulationF29] ;

(k)[F30 the PRIIPs regulation and any directly applicable regulation made under that Regulation;F30]

[F31 (l)any directly applicable regulation made under the insurance distribution directiveF31] ;

[F32 (m)the MMF Regulation and any directly applicable regulation or decision made under that RegulationF32] ;

F33(n). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The instruments listed in paragraph (4) are also specified[F34 qualifying provisionsF34] for the purposes of sections 1A(6)(d), 1L(2)(b) and 168(4)(k) of the Act.

(4) The instruments are—

(a)the short selling regulation;

(b)any directly applicable regulation made under the short selling regulation;

[F35 (c)any directly applicable regulation made under the recovery and resolution directive.F35]

[F36 (4A) The SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation are specified [F37 qualifying provisionsF37] for the purposes of sections 1A(6)(d), 1L(2)(b) and 168(4)(k) of the Act.F36]

(5) The instruments listed in paragraph (6) are specified[F38 qualifying provisionsF38] for the purposes of sections [F392AB(3)(d)F39] and [F4066B(4)(b)F40] of the Act.

(6) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F41 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F41]

(b)the European market infrastructure regulation;

(c)any directly applicable regulation made under the European market infrastructure regulation;

[F42 (d)the CSD regulation and any directly applicable regulation made under that RegulationF42] ;

[F43 (e)any directly applicable regulation made under the recovery and resolution directiveF43] ;

F44(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) The instruments listed in paragraph (8) are specified[F45 qualifying provisionsF45] for the purposes of section 293A of the Act.

(8) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F46 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F46]

(b)the emission allowance auctioning regulation;

[F47 (ba)the UK auctioning regulations;F47]

(c)the European market infrastructure regulation;

(d)any directly applicable regulation made under the European market infrastructure regulation;

[F48 (e)the CSD regulation and any directly applicable regulation made under that RegulationF48] ;

[F49 (f)the market abuse regulation and any directly applicable regulation made under that RegulationF49] ;

[F50 (g)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F50]

[F51 (9) Directly applicable regulations made under the recovery and resolution directive are specified [F52 qualifying provisionsF52] for the purpose of sections [F53 66B(4)(b)F53] and 192K(1)(c) of the Act.F51]

[F54 (10) The market abuse regulation and any directly applicable regulation made under that Regulation are specified [F52 qualifying provisionsF52] for the purposes of section [F55 66A(4)(b)F55] of the Act.F54]

[F56 (11) Directly applicable regulations made under the Solvency 2 Directive are specified [F52 qualifying provisionsF52] for the purposes of sections 2A(6)(d), 39(4)(b), 66B(4)(b) and 168(4)(k) of the Act.F56]

[F57 (12) The EU Benchmarks Regulation 2016 is a specified [F58 qualifying provisionF58] for the purpose of section 1A(6)(d) of the Act.

(13) The EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016 is a specified [F59 qualifying provisionF59] for the purposes of sections 1L(2)(b), 39(4)(b), 66A(4)(b), 168(4)(k), 192K(1)(c) and 293A of the Act.F57]

[[F60,F61 (14) The EU Prospectus Regulation and any directly applicable measure made under that Regulation is a specified qualifying EU provision for the purpose of section 1A(6)(d) of the Act.F61,F60]]

[F62Qualifying provisionsF62] : disciplinary measures

3.—(1) The instruments listed in paragraph (2) are specified[F63 qualifying provisionsF63] for the purposes of section 204A(2) of the Act.

(2) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F64 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation [F65 , except for Title VIII (Provision of services and performance of activities by third-country firms following an equivalence determination with or without a branch) and any directly applicable EU regulation made under that titleF65] ;F64]

(b)any directly applicable regulation made under the UCITS directive;

[F66 (ba)any directly applicable regulation made under the alternative investment fund managers directive;F66]

(c)the emission allowance auctioning regulation;

[F67 (ca)the UK auctioning regulations;F67]

(d)the European market infrastructure regulation;

(e)any directly applicable regulation made under the European market infrastructure regulation;

[F68 (f)the EuSEF Regulation and any directly applicable regulation made under that Regulation;

(g)the EuVECA Regulation and any directly applicable regulation made under that RegulationF68] ;

[F69 (h)the CSD regulation and any directly applicable regulation made under that RegulationF69] ;

[F70 (i)any directly applicable regulation made under the recovery and resolution directiveF70] ;

F71(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F72 (k)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulationF72] ;

[F73 (l)any directly applicable regulation made under the Solvency 2 DirectiveF73][F74 ;

(m)[F75 the PRIIPs regulation and any directly applicable regulation made under that Regulation;F75]

[F76 (n)the EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016F76] ;

[F77 (o)any directly applicable regulation made under the insurance distribution directiveF77] ;

[F78 (p)the MMF Regulation and any directly applicable regulation or decision made under that RegulationF78] ;

F79(q). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The appropriate regulator for the purposes of each provision in Part 14 of the Act in relation to the [F80 qualifying provisionsF80] specified by paragraph (1) is—

(a)in relation to a contravention of a requirement imposed by a directly applicable regulation made under the markets in financial instruments directive [F81 or the markets in financial instruments regulationF81] —

(i)if the authorised person concerned is a PRA-authorised person, either the PRA or the FCA;

(ii)in any other case, the FCA;

(b)in relation to a contravention of a requirement imposed by the emission allowance auctioning regulation [F82 , the UK auctioning regulationsF82] or any directly applicable regulation made under the UCITS directive [F83 or the alternative investment fund managers directiveF83] , the FCA;

(c)in relation to a contravention of a requirement imposed by the European market infrastructure regulation—

(i)if the authorised person concerned is a PRA-authorised person, either the PRA or the FCA;

(ii)in any other case, the FCA;

(d)in relation to a contravention of a requirement imposed by any directly applicable regulation made under the European market infrastructure regulation, the FCA;

[F84 (e)in relation to a contravention of a requirement imposed by the EuSEF Regulation, the EuVECA Regulation or any directly applicable regulation made under either the EuSEF Regulation or the EuVECA Regulation, the FCAF84] ;

[F85 (f)in relation to a contravention of a requirement imposed by the CSD regulation or any directly applicable regulation made under the CSD regulation—

(i)if the authorised person concerned is a PRA-authorised person, either the PRA or the FCA;

(ii)in any other case, the FCAF85] ;

[F86 (g)in relation to a contravention of a requirement imposed by any directly applicable regulation made under the recovery and resolution directive—

(i)if the authorised person concerned is a PRA-authorised person, either the PRA or the FCA;

(ii)in any other case, the FCAF86] ;

F87(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F88 (i)in relation to a contravention of a requirement imposed by the SFT regulation or any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation, the FCAF88] ;

[F89 (j)in relation to a contravention of a requirement imposed by a directly applicable regulation made under the Solvency 2 Directive, the PRAF89] ;

(k)[F90 in relation to a contravention of a requirement imposed by the PRIIPs regulation or any directly applicable regulation made under that Regulation, the FCA;F90]

[F91 (l)in relation to a contravention of a requirement imposed by the EU Benchmarks Regulation 2016 or of any directly applicable regulation made under that Regulation, the FCAF91] ;

[F92 (m)in relation to a contravention of a requirement imposed by any directly applicable regulation made under the insurance distribution directive, the FCAF92] ;

[F93 (n)in relation to a contravention of a requirement imposed by the MMF Regulation or any directly applicable regulation or decision made under that Regulation, the FCAF93] ;

F94(o). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .F74]

[F95Qualifying provisionsF95] etc.: recognised investment exchanges [F96, clearing houses and CSDsF96]

4.—(1) The instruments listed in paragraph (5) are specified directly applicable EU provisions for the purposes of section 296(1A) of the Act.

(2) The instruments listed in paragraph (3) are specified directly applicable EU provisions for the purposes of section 297(2A)(c) of the Act.

(3) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F97 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F97]

(b)the emission allowance auctioning regulation;

[F98 (ba)the UK auctioning regulations;F98]

(c)the European market infrastructure regulation;

(d)any directly applicable regulation made under the European market infrastructure regulation;

[F99 (e)the CSD regulation and any directly applicable regulation made under that RegulationF99] ;

[F100 (f)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F100]

(4) The instruments listed in paragraph (5) are specified[F101 qualifying provisionsF101] for the purposes of section 312E(2)(c) of the Act.

(5) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F102 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F102]

(b)the emission allowance auctioning regulation;

[F103 (ba)the UK auctioning regulations;F103]

(c)the European market infrastructure regulation;

(d)any directly applicable regulation made under the European market infrastructure regulation;

[F104 (e)the CSD regulation and any directly applicable regulation made under that RegulationF104] ;

[F105 (f)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F105]

(6) The instruments listed in paragraph (7) are specified[F106 qualifying provisionsF106] for the purposes of section 312E(3)(c) of the Act.

(7) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F107 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F107]

(b)the European market infrastructure regulation;

(c)any directly applicable regulation made under the European market infrastructure regulation;

[F108 (d)the CSD regulation and any directly applicable regulation made under that RegulationF108] ;

[F109 (e)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F109]

(8) The instruments listed in paragraph (9) are specified[F110 qualifying provisionsF110] for the purposes of paragraphs 14(2)(d) and 30(c) of Schedule 17A to the Act.

(9) The instruments are—

(a)the European market infrastructure regulation;

(b)any directly applicable regulation made under the European market infrastructure regulation;

[F111 (c)the CSD regulation and any directly applicable regulation made under that Regulation.F111]

[F112 (10) The market abuse regulation and any directly applicable regulation made under that Regulation are specified [F113 qualifying provisionsF113] for the purposes of sections 296(1A) and 297(2A)(c) of the Act.F112]

[F114 (11) The SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation are specified [F113 qualifying provisionsF113] for the purposes of paragraph 14(2)(d) of Schedule 17A to the Act.F114]

[F115 (12) The EU Benchmarks Regulation 2016 or any directly applicable regulation made under that Regulation are specified [F113 qualifying provisionsF113] for the purposes of sections 296(1A), 297(2A)(c) and 312E(2)(c).F115]

[F116Qualifying provisionsF116] : injunctions and restitution

5.—(1) The instruments listed in paragraph (2) are specified[F117 qualifying provisionsF117] for the purposes of sections 380(6)(a), 382(9)(a) and 384(7)(a) of the Act.

(2) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F118 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation [F119 , except for Title VIII (Provision of services and performance of activities by third-country firms following an equivalence determination with or without a branch) and any directly applicable EU regulation made under that titleF119] ;F118]

(b)any directly applicable regulation made under the UCITS directive;

[F120 (ba)any directly applicable regulation made under the alternative investment fund managers directive;F120]

(c)the emission allowance auctioning regulation [F121, except for Article 38 (prohibition of insider dealing), Article 39 (other prohibited uses of inside information) and Article 41 (prohibition of market manipulation) of that regulationF121] ;

[F122 (ca)the UK auctioning regulations;F122]

(d)the European market infrastructure regulation;

(e)any directly applicable regulation made under the European market infrastructure regulation;

[F123 (f)the EuSEF Regulation and any directly applicable regulation made under that Regulation;

(g)the EuVECA Regulation and any directly applicable regulation made under that RegulationF123] ;

[F124 (h)the CSD regulation and any directly applicable regulation made under that RegulationF124] ;

[F125 (i)any directly applicable regulation made under the recovery and resolution directiveF125] ;

F126(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F127 (k)the market abuse regulation and any directly applicable regulation made under that Regulation, except for Article 14 (prohibition of insider dealing and of unlawful disclosure of inside information) and Article 15 (prohibition of market manipulation) of the market abuse regulationF127] ;

[F128 (l)any directly applicable regulation made under the Solvency 2 DirectiveF128] ;

(m)[F129 the PRIIPs regulation and any directly applicable regulation made under that Regulation;F129]

[F130 (n)the EU Benchmarks Regulation 2016 and any directly applicable measure made under that RegulationF130] ;

[F131 (o)any directly applicable regulation made under the insurance distribution directiveF131] ;

[F132 (p)the MMF Regulation and any directly applicable regulation or decision made under itF132] ;

F133(q). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[[F134,F135 (r)the EU Prospectus Regulation and any directly applicable measure made under that Regulation.F135,F134]]

(3) The instruments listed in paragraph (4) are also specified[F136 qualifying EU provisionsF136] for the purposes of section 380(6)(a) and 382(9)(a) of the Act.

(4) The instruments are—

(a)the short selling regulation;

(b)any directly applicable regulation made under the short selling regulation.

[F137 (4A) The SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation are specified [F138 qualifying provisionsF138] for the purposes of section 380(6)(a) of the Act.F137]

(5) The appropriate regulator for the purposes of sections 380, 382 and 384 of the Act is—

(a)in relation to a contravention of a requirement imposed by a directly applicable regulation made under the markets in financial instruments directive[F139 or the markets in financial instruments regulationF139] —

(i)if the authorised person concerned is a PRA-authorised person, the PRA or the FCA;

(ii)in any other case, the FCA;

(b)in relation to a contravention of the emission allowance auctioning regulation [F140, the UK auctioning regulationsF140] or any directly applicable regulation made under the UCITS directive[F141 or the alternative investment fund managers directiveF141] , the FCA;

(c)in relation to a contravention of the European market infrastructure regulation—

(i)if the authorised person concerned is a PRA-authorised person, the PRA or the FCA;

(ii)in any other case, the FCA;

(d)in relation to a contravention of any directly applicable regulation made under the European market infrastructure regulation, the FCA;

(e)in relation to a contravention of the short selling regulation or any directly applicable regulation made under that regulation, the FCA;

[F142 (f)in relation to a contravention of a requirement imposed by the EuSEF Regulation, the EuVECA Regulation or any directly applicable regulation made under either the EuSEF Regulation or the EuVECA Regulation, the FCAF142] ;

[F143 (g)in relation to a contravention of the CSD regulation or any directly applicable regulation made under the CSD regulation—

(i)if the authorised person concerned is a PRA-authorised person, the PRA or the FCA;

(ii)in any other case, the FCAF143] ;

[F144 (h)in relation to a contravention of a requirement imposed by any directly applicable regulation made under the recovery and resolution directive—

(i)if the person concerned is a PRA-authorised person, or a parent undertaking of a PRA-authorised person, either the PRA or the FCA;

(ii)in any other case, the FCAF144] ;

F145(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F146 (j)in relation to a contravention of the market abuse regulation or any directly applicable regulation made under that Regulation, the FCAF146] ;

[F147 (k)in relation to a contravention of a requirement imposed by a directly applicable regulation made under the Solvency 2 Directive, the PRAF147] ;

(l)[F148 in relation to a contravention of a requirement imposed by the PRIIPs regulation or any directly applicable regulation made under that Regulation, the FCA;F148]

[F149 (m)in relation to a contravention of a requirement imposed by the EU Benchmarks Regulation 2016 or any directly applicable measure made under that Regulation, the FCAF149] ;

[F150 (n)in relation to a contravention of a requirement imposed by any directly applicable regulation made under the insurance distribution directive, the FCAF150] ;

[F151 (o)in relation to a contravention of a requirement imposed by the MMF Regulation or any directly applicable regulation or decision made under that Regulation, the FCAF151] ;

F152(p). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[[F153,F154 (q)in relation to a contravention of a requirement imposed by the EU Prospectus Regulation or any directly applicable measure made under that Regulation, the FCA.F154,F153]]

[F155 (5A) The appropriate regulator for the purposes of section 380 of the Act, in relation to a contravention of the SFT regulation or any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation, is the FCA.F155]

(6) The specified[F156 qualifying provisionsF156] for the purposes of paragraph 26(2)(c) of Schedule 17A to the Act are—

(a)the European market infrastructure regulation;

(b)any directly applicable regulation made under the European market infrastructure regulation;

[F157 (c)the CSD regulation and any directly applicable regulation made under that RegulationF157] ;

[F158 (d)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F158]

[F159 (7) In paragraphs (2)(n) and (5)(m) the reference to any directly applicable measure of the EU Benchmarks Regulation 2016 is a reference to—

(a)any measure, originally adopted under that regulation, which is retained direct EU legislation,

(b)technical standards made under that regulation in accordance with Chapter 2A of Part 9A of the Act, and

(c)any subordinate legislation (within the meaning of the Interpretation Act 1978) which is made under a power substituted for a power of an EU entity to adopt a measure under that regulation by regulations made under section 8 of the European Union (Withdrawal) Act 2018.F159]

[F160Qualifying provisionsF160] : fees

6.—(1) The instruments listed in paragraph (2) are specified[F161 qualifying provisionsF161] for the purposes of paragraph 23(2) of Schedule 1ZA to the Act [F162and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019;F162]

(2) The instruments are—

(a)any directly applicable regulation made under the markets in financial instruments directive;

[F163 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F163]

(b)any directly applicable regulation made under the UCITS directive;

[F164 (ba)any directly applicable regulation made under the alternative investment fund managers directive;F164]

(c)the emission allowance auctioning regulation;

[F165 (ca)the UK auctioning regulations;F165]

(d)the European market infrastructure regulation;

(e)any directly applicable regulation made under the European market infrastructure regulation;

(f)the short selling regulation;

(g)any directly applicable regulation made under the short selling regulation;

[F166 (h)the EuSEF Regulation and any directly applicable regulation made under that Regulation;

(i)the EuVECA Regulation and any directly applicable regulation made under that RegulationF166] ;

[F167 (j)the CSD regulation and any directly applicable regulation made under that RegulationF167] ;

[F168 (k)any directly applicable regulation made under the recovery and resolution directiveF168] ;

F169(l). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F170 (m)the market abuse regulation and any directly applicable regulation made under that RegulationF170] ;

[F171 (n)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulationF171] ;

(o)[F172 the PRIIPs regulation and any directly applicable regulation made under that Regulation;F172]

[F173 (p)the EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016F173] ;

[F174 (q)any directly applicable regulation made under the insurance distribution directiveF174] ;

[F175 (r)the MMF Regulation and any directly applicable regulation or decision made under that RegulationF175] ;

F176(s). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[[F177,F178 (t)the EU Prospectus Regulation and any directly applicable measure made under that Regulation.F178,F177]]

(3) The instruments listed in paragraph (4) are specified[F179 qualifying provisionsF179] for the purposes of paragraph 31(2) of Schedule 1ZB to the Act [F180and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019F180] .

(4) The instruments are—

(a)any directly applicable regulation made under the market in financial instruments directive;

[F181 (aa)the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation;F181]

(b)the European market infrastructure regulation;

(c)any directly applicable regulation made under the European markets infrastructure regulation;

[F182 (d)the CSD regulation and any directly applicable regulation made under that RegulationF182] ;

[F183 (e)any directly applicable regulation made under the recovery and resolution directiveF183] ;

[F184 (f)any directly applicable regulation made under the Solvency 2 DirectiveF184] ;

F185(g). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The instruments listed in paragraph (6) are specified[F186 qualifying provisionsF186] for the purposes paragraph 36(2)(b) of Schedule 17A to the Act [F187and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019F187] .

(6) The instruments are—

(a)the European market infrastructure regulation;

(b)any directly applicable regulation made under the European market infrastructure regulation;

[F188 (c)the CSD regulation and any directly applicable regulation made under that RegulationF188] ;

[F189 (d)the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation.F189]

Mark Lancaster

David Evennett

Two of the Lords Commissioners of Her Majesty's Treasury

Status: There are outstanding changes not yet made by the editorial team to The Financial Services and Markets Act 2000 (Qualifying Provisions) Order 2013. Any changes that have already been made by the team appear in the content and are referenced with annotations.
The Financial Services and Markets Act 2000(Qualifying Provisions)Order 2013 (2013/419)
Version from: [subject to the status notice] 22 November 2024

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Status of this instrument

in force Provision is in force
in force* In force only for specified purposes (see footnote)
not in force Not in force in England (may be in force in other geographies, see footnotes)
defined term Defined term
dfn Defined term (alternative style)
footnote commentary transitional and savings in force status related provisions geo extent insert/omit source count in force adj
C1 Order: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pt. 2; S.I. 2023/779, reg. 2(d)
F1 Words in Title substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(2); 2020 c. 1, Sch. 5 para. 1(1) substituted
F2 Words in art. 1(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(2); 2020 c. 1, Sch. 5 para. 1(1) substituted
F3 Words in art. 1(2) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(2) omitted
F4 Words in art. 1(2) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(2) inserted
F5 Words in art. 1(2) inserted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(2) (with reg. 40) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F6 Words in art. 1(2) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 33 (with regs. 48-50) text omitted for certain specified purposes only, see the commentary. this amendment (text omitted) should be read in conjunction with other related provisions, see the commentary. omitted check commentary
F7 Words in art. 1(2) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(2) omitted
F8 Words in art. 1(2) inserted (22.7.2013) by virtue of The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(2) inserted
F9 Words in art. 1(2) inserted (1.3.2018) by The Alternative Investment Fund Managers (Amendment) Regulations 2018 (S.I. 2018/134), regs. 1(2), 3(a) inserted
F10 Words in art. 1(2) inserted (1.3.2018) by The Alternative Investment Fund Managers (Amendment) Regulations 2018 (S.I. 2018/134), regs. 1(2), 3(b) inserted
F11 Words in art. 1(2) inserted (1.1.2023) by The Financial Services and Markets Act 2000 (Qualifying Provisions) (Amendment) Order 2022 (S.I. 2022/1252), arts. 1(1), 3(2)(a) inserted
F12 Words in art. 1(2) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(2) inserted
F13 Words in art. 1(2) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(2)(a) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F14 Words in art. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(2) inserted
F15 Words in art. 1(2) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(2) inserted
F16 Art. 1(3) substituted for art. 1(3)(3A) (30.6.2020) by The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020 (S.I. 2020/628), regs. 1(2), 2 substituted
F17 Art. 1(4)-(7) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(3); 2020 c. 1, Sch. 5 para. 1(1) inserted
F18 Words in art. 1(5) substituted (1.1.2023) by The Financial Services and Markets Act 2000 (Qualifying Provisions) (Amendment) Order 2022 (S.I. 2022/1252), arts. 1(1), 3(2)(b) substituted
F19 Words in art. 1(5A) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(2)(b) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F20 Words in art. 2 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F21 Words in art. 2(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F22 Word in art. 2(1) substituted (21.11.2016) by The Financial Services (Banking Reform) Act 2013 (Consequential Amendments) (No. 2) Order 2016 (S.I. 2016/1023), arts. 1, 2(a) substituted
F23 Art. 2(2)(aa) inserted (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. 3 para. 6(2)(a) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F24 Art. 2(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(3)(a) inserted
F25 Art. 2(2)(ca) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(3)(a) inserted
F26 Art. 2(2)(f)(g) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(3)(b) inserted
F27 Art. 2(2)(h) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(a) inserted
F28 Art. 2(2)(i) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(3) omitted
F29 Art. 2(2)(j) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(a) inserted
F30 Art. 2(2)(k) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(3) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F31 Art. 2(2)(l) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(2) inserted
F32 Art. 2(2)(m) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(3) inserted
F33 Art. 2(2)(n) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(3) omitted
F34 Words in art. 2(3) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F35 Art. 2(4)(c) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(a) inserted
F36 Art. 2(4A) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(2)(a) inserted
F37 Words in art. 2(4A) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F38 Words in art. 2(5) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F39 Word in art. 2(5) substituted (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. 3 para. 6(2)(b) (with reg. 7) this amendment (text substituted) should be read in conjunction with other related provisions, see the commentary. substituted
F40 Word in art. 2(5) substituted (21.11.2016) by The Financial Services (Banking Reform) Act 2013 (Consequential Amendments) (No. 2) Order 2016 (S.I. 2016/1023), arts. 1, 2(b) substituted
F41 Art. 2(6)(aa) inserted (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. 3 para. 6(2)(c) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F42 Art. 2(6)(d) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(b) inserted
F43 Art. 2(6)(e) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(b) inserted
F44 Art. 2(6)(f) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(3) omitted
F45 Words in art. 2(7) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F46 Art. 2(8)(aa) inserted (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. 3 para. 6(2)(d) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F47 Art. 2(8)(ba) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(3)(b) inserted
F48 Art. 2(8)(e) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(2)(c) inserted
F49 Art. 2(8)(f) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(b) inserted
F50 Art. 2(8)(g) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(2)(b) inserted
F51 Art. 2(9) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(3)(c) inserted
F52 Words in art. 2(9)-(11) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(a); 2020 c. 1, Sch. 5 para. 1(1) substituted
F53 Word in art. 2(9) substituted (21.11.2016) by The Financial Services (Banking Reform) Act 2013 (Consequential Amendments) (No. 2) Order 2016 (S.I. 2016/1023), arts. 1, 2(c) substituted
F54 Art. 2(10) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(2)(c) inserted
F55 Word in art. 2(10) substituted (21.11.2016) by The Financial Services (Banking Reform) Act 2013 (Consequential Amendments) (No. 2) Order 2016 (S.I. 2016/1023), arts. 1, 2(d) substituted
F56 Art. 2(11) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(2) inserted
F57 Art. 2(12)(13) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(3) inserted
F58 Words in art. 2(12) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(5); 2020 c. 1, Sch. 5 para. 1(1) substituted
F59 Words in art. 2(13) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(5); 2020 c. 1, Sch. 5 para. 1(1) substituted
F60 Art. 2(14) inserted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(3) (with reg. 40) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F61 Art. 2(14) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 34 (with regs. 48-50) text omitted for certain specified purposes only, see the commentary. this amendment (text omitted) should be read in conjunction with other related provisions, see the commentary. omitted check commentary
F62 Words in art. 3 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(b); 2020 c. 1, Sch. 5 para. 1(1) substituted
F63 Words in art. 3(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(b); 2020 c. 1, Sch. 5 para. 1(1) substituted
F64 Art. 3(2)(aa) inserted (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. 3 para. 6(3)(a) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F65 Words in art. 3(2)(aa) inserted (1.1.2023) by The Financial Services and Markets Act 2000 (Qualifying Provisions) (Amendment) Order 2022 (S.I. 2022/1252), arts. 1(1), 3(3) inserted
F66 Art. 3(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(4)(a)(i) inserted
F67 Art. 3(2)(ca) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(4)(a) inserted
F68 Art. 3(2)(f)(g) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(4)(a)(ii) inserted
F69 Art. 3(2)(h) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(3)(a) inserted
F70 Art. 3(2)(i) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(4)(a) inserted
F71 Art. 3(2)(j) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(4)(a) omitted
F72 Art. 3(2)(k) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(3)(a) inserted
F73 Art. 3(2)(l) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(3)(a) inserted
F74 Art. 3(2)(m) inserted (1.1.2018) by The Packaged Retail and Insurance-based Investment Products Regulations 2017 (S.I. 2017/1127), reg. 1, Sch. 2 para. 7(4)(a) inserted
F75 Art. 3(2)(m) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(4)(a) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F76 Art. 3(2)(n) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(4)(b) inserted
F77 Art. 3(2)(o) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(3)(a) inserted
F78 Art. 3(2)(p) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(4)(a) inserted
F79 Art. 3(2)(q) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(4) omitted
F80 Words in art. 3(3) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(b); 2020 c. 1, Sch. 5 para. 1(1) substituted
F81 Words in art. 3(3)(a) inserted (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. 3 para. 6(3)(b) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F82 Words in art. 3(3)(b) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(4)(b) inserted
F83 Words in art. 3(3)(b) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(4)(b)(i) inserted
F84 Art. 3(3)(e) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(4)(b)(ii) inserted
F85 Art. 3(3)(f) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(3)(b) inserted
F86 Art. 3(3)(g) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(4)(b) inserted
F87 Art. 3(3)(h) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(4)(b) omitted
F88 Art. 3(3)(i) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(3)(b) inserted
F89 Art. 3(3)(j) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(3)(b) inserted
F90 Art. 3(3)(k) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(4)(b) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F91 Art. 3(3)(l) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(4)(c) inserted
F92 Art. 3(3)(m) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(3)(b) inserted
F93 Art. 3(3)(n) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(4)(b) inserted
F94 Art. 3(3)(o) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(4) omitted
F95 Words in art. 4 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(c); 2020 c. 1, Sch. 5 para. 1(1) substituted
F96 Words in art. 4 heading substituted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 40 (with regs. 7(4), 9(1)) this amendment (text substituted) should be read in conjunction with other related provisions, see the commentary. substituted
F97 Art. 4(3)(aa) inserted (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. 3 para. 6(4)(a) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F98 Art. 4(3)(ba) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(5)(a) inserted
F99 Art. 4(3)(e) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(4)(a) inserted
F100 Art. 4(3)(f) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(4)(a) inserted
F101 Words in art. 4(4) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(c); 2020 c. 1, Sch. 5 para. 1(1) substituted
F102 Art. 4(5)(aa) inserted (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. 3 para. 6(4)(b) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F103 Art. 4(5)(ba) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(5)(b) inserted
F104 Art. 4(5)(e) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(4)(b) inserted
F105 Art. 4(5)(f) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(4)(b) inserted
F106 Words in art. 4(6) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(c); 2020 c. 1, Sch. 5 para. 1(1) substituted
F107 Art. 4(7)(aa) inserted (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. 3 para. 6(4)(c) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F108 Art. 4(7)(d) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(4)(c) inserted
F109 Art. 4(7)(e) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(4)(c) inserted
F110 Words in art. 4(8) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(c); 2020 c. 1, Sch. 5 para. 1(1) substituted
F111 Art. 4(9)(c) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(4)(d) inserted
F112 Art. 4(10) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(3) inserted
F113 Words in art. 4(10)-(12) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(c); 2020 c. 1, Sch. 5 para. 1(1) substituted
F114 Art. 4(11) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(4)(d) inserted
F115 Art. 4(12) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(5) inserted
F116 Words in art. 5 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(d); 2020 c. 1, Sch. 5 para. 1(1) substituted
F117 Words in art. 5(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(d); 2020 c. 1, Sch. 5 para. 1(1) substituted
F118 Art. 5(2)(aa) inserted (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. 3 para. 6(5)(a) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F119 Words in art. 5(2)(aa) inserted (1.1.2023) by The Financial Services and Markets Act 2000 (Qualifying Provisions) (Amendment) Order 2022 (S.I. 2022/1252), arts. 1(1), 3(3) inserted
F120 Art. 5(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(5)(a)(i) inserted
F121 Words in art. 5(2)(c) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(4)(a) inserted
F122 Art. 5(2)(ca) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(6)(a) inserted
F123 Art. 5(2)(f)(g) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(5)(a)(ii) inserted
F124 Art. 5(2)(h) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(5)(a) inserted
F125 Art. 5(2)(i) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(5)(a) inserted
F126 Art. 5(2)(j) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(5)(a) omitted
F127 Art. 5(2)(k) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(4)(b) inserted
F128 Art. 5(2)(l) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(4)(a) inserted
F129 Art. 5(2)(m) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(5)(a) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F130 Art. 5(2)(n) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(6)(b) inserted
F131 Art. 5(2)(o) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(4)(a) inserted
F132 Art. 5(2)(p) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(5)(a) inserted
F133 Art. 5(2)(q) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(5) omitted
F134 Art. 5(2)(r) inserted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(4)(a) (with reg. 40) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F135 Art. 5(2)(r) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 35 (with regs. 48-50) text omitted for certain specified purposes only, see the commentary. this amendment (text omitted) should be read in conjunction with other related provisions, see the commentary. omitted check commentary
F136 Words in art. 5(3) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(d); 2020 c. 1, Sch. 5 para. 1(1) substituted
F137 Art. 5(4A) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(5)(a) inserted
F138 Words in art. 5(4A) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(d); 2020 c. 1, Sch. 5 para. 1(1) substituted
F139 Words in art. 5(5)(a) inserted (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. 3 para. 6(5)(b) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F140 Words in art. 5(5)(b) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(6)(b) inserted
F141 Words in art. 5(5)(b) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(5)(b)(i) inserted
F142 Art. 5(5)(f) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(5)(b)(ii) inserted
F143 Art. 5(5)(g) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(5)(b) inserted
F144 Art. 5(5)(h) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(5)(b) inserted
F145 Art. 5(5)(i) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(5)(b) omitted
F146 Art. 5(5)(j) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(4)(c) inserted
F147 Art. 5(5)(k) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(4)(b) inserted
F148 Art. 5(5)(l) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(5)(b) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F149 Art. 5(5)(m) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(6)(c)(ii) inserted
F150 Art. 5(5)(n) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(4)(b) inserted
F151 Art. 5(5)(o) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(5)(b) inserted
F152 Art. 5(5)(p) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(5) omitted
F153 Art. 5(5)(q) inserted (21.7.2019) by virtue of The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(4)(b) (with reg. 40) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F154 Art. 5(5)(q) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 35 (with regs. 48-50) text omitted for certain specified purposes only, see the commentary. this amendment (text omitted) should be read in conjunction with other related provisions, see the commentary. omitted check commentary
F155 Art. 5(5A) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(5)(b) inserted
F156 Words in art. 5(6) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(d); 2020 c. 1, Sch. 5 para. 1(1) substituted
F157 Art. 5(6)(c) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(5)(c) inserted
F158 Art. 5(6)(d) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(5)(c) inserted
F159 Art. 5(7) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(6); 2020 c. 1, Sch. 5 para. 1(1) inserted
F160 Words in art. 6 heading substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1) substituted
F161 Words in art. 6(1) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1) substituted
F162 Words in art. 6(1) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(a); 2020 c. 1, Sch. 5 para. 1(1) inserted
F163 Art. 6(2)(aa) inserted (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. 3 para. 6(6)(a) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F164 Art. 6(2)(ba) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(6)(a) inserted
F165 Art. 6(2)(ca) inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 7(7) inserted
F166 Art. 6(2)(h)(i) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 22(6)(b) inserted
F167 Art. 6(2)(j) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(6)(a) inserted
F168 Art. 6(2)(k) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(6)(a) inserted
F169 Art. 6(2)(l) omitted (1.1.2024) by virtue of The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 8(6) omitted
F170 Art. 6(2)(m) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 22(5) inserted
F171 Art. 6(2)(n) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(6)(a) inserted
F172 Art. 6(2)(o) omitted (22.11.2024 for specified purposes) by virtue of The Consumer Composite Investments (Designated Activities) Regulations 2024 (S.I. 2024/1198), reg. 2(1)(c)(2), Sch. 2 para. 2(6) text omitted for certain specified purposes only, see the commentary. omitted check commentary
F173 Art. 6(2)(p) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 58(7)(b) inserted
F174 Art. 6(2)(q) inserted (1.10.2018) by The Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 (S.I. 2018/546), arts. 1(2), 24(5) inserted
F175 Art. 6(2)(r) inserted (28.6.2018 for specified purposes, 21.7.2018 in so far as not already in force) by The Money Market Funds Regulations 2018 (S.I. 2018/698), regs. 1(2), 5(6) inserted
F176 Art. 6(2)(s) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(6) omitted
F177 Art. 6(2)(t) inserted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 39(5)(a) (with reg. 40) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F178 Art. 6(2)(t) omitted (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 36 (with regs. 48-50) text omitted for certain specified purposes only, see the commentary. this amendment (text omitted) should be read in conjunction with other related provisions, see the commentary. omitted check commentary
F179 Words in art. 6(3) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1) substituted
F180 Words in art. 6(3) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(b); 2020 c. 1, Sch. 5 para. 1(1) inserted
F181 Art. 6(4)(aa) inserted (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. 3 para. 6(6)(b) (with reg. 7) this amendment (text inserted) should be read in conjunction with other related provisions, see the commentary. inserted
F182 Art. 6(4)(d) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(6)(b) inserted
F183 Art. 6(4)(e) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 12(6)(b) inserted
F184 Art. 6(4)(f) inserted (12.10.2016) by The Financial Services and Markets Act 2000 (Qualifying EU Provisions) (Amendment) Order 2016 (S.I. 2016/936), arts. 1(2), 2(5) inserted
F185 Art. 6(4)(g) omitted (1.11.2024) by virtue of The Securitisation (Amendment) Regulations 2024 (S.I. 2024/705), reg. 1(3), Sch. 2 para. 5(6) omitted
F186 Words in art. 6(5) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(4)(e); 2020 c. 1, Sch. 5 para. 1(1) substituted
F187 Words in art. 6(5) inserted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 187(7)(c); 2020 c. 1, Sch. 5 para. 1(1) inserted
F188 Art. 6(6)(c) inserted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 9(6)(c) inserted
F189 Art. 6(6)(d) inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 4(6)(b) inserted
M1 2000 c. 8. Sections 1A to 3S were inserted by section 6 of the Financial Services Act 2012 (c.21); section 39(4) was substituted by Schedule 18 to that Act; section 66(2) and (2A) were substituted by Schedule 5 to that Act; section 168 was amended by Schedule 12 to that Act; sections 204A, 380, 382 and 384 were amended by Schedule 9 to that Act; section 293A was inserted by Schedule 8 to that Act; sections 296 and 297 were amended by Schedule 8 to that Act; section 312E was inserted by section 33 of that Act. There are other amendments to these provisions which are not relevant to this Order.
M2 Schedules 1ZA and 1ZB were inserted by Schedule 3 to the Financial Services Act 2012. Schedule 17A was inserted by Schedule 7 to that Act.
M3 OJ no L 201, 27.7.2012, p1.
Defined Term Section/Article ID Scope of Application
EuSEF Regulation art. 1. def_e3c3e0dee6
EuVECA Regulation art. 1. def_19b647ac23
markets in financial instruments regulation art. 1. def_cb6b68ccc4
MMF Regulation art. 1. def_66ee4e5011
PRIIPs regulation art. 1. def_baf48cdeb3
recovery and resolution directive art. 1. def_be36df82e2
the Act art. 1. def_26796f14a9
the EU Benchmarks Regulation 2016 art. 1. def_77f9c6830a
the EU Prospectus Regulation art. 1. def_4caec00403
the European market infrastructure regulation art. 1. def_55c2c0e087
the parent EU Directive art. 1. def_016e6ab0c0
the parent Regulation art. 1. def_37835d7dfb
the parent Regulation art. 1. def_e9d4fee642
UK auctioning regulations art. 1. def_6944f43678

Status of changes to instrument text

The list includes made instruments, both those in force and those yet to come into force. Typically, instruments that are not yet in force (hence their changes are not incorporated into the text above) are indicated by description 'not yet' in the changes made column.

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