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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 2013 cross-notes

Made

26th February 2013

Laid before Parliament

27th February 2013

Coming into force

1st April 2013

M1,M2 The 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]

[F14 recovery 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 the parent EU Directive, which is retained direct EU legislation,

(b) any technical standards made in relation to the 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 the 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.

[F19 (5A) In this Order a reference to any directly applicable regulation (or EU regulation) made under the PRIIPs regulation, 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. F19]

(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]

[F20 Qualifying provisions F20] : general

2. —(1) The instruments listed in paragraph (2) are specified [F21qualifying provisionsF21] for the purposes of sections 1A(6)(d), 1L(2)(b), 39(4)(b), [F22 66A(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 Regulation F26] ;

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

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

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

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

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

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

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

(3) The instruments listed in paragraph (4) are also specified [F34qualifying 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 [F37qualifying 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 [F38qualifying provisionsF38] for the purposes of sections [F39 2AB(3)(d) F39] and [F40 66B(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 Regulation F42] ;

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

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

(7) The instruments listed in paragraph (8) are specified [F45qualifying 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 Regulation F48] ;

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

[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 [F52qualifying 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 [F52qualifying 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 [F52qualifying 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 [F58qualifying 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 [F59qualifying 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]]

[F62 Qualifying provisions F62] : disciplinary measures

3. —(1) The instruments listed in paragraph (2) are specified [F63qualifying 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 title F65] ; 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 Regulation F68] ;

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

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

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 Directive F73] ;

[F74 (m) the PRIIPs regulation and any directly applicable regulation made under that Regulation F74] ;

[F75 (n) the EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016F75] ;

[F76 (o) any directly applicable regulation made under the insurance distribution directive F76] ;

[F77 (p) the MMF Regulation and any directly applicable regulation or decision made under that Regulation F77] ;

F78 (q) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The appropriate regulator for the purposes of each provision in Part 14 of the Act in relation to the [F79qualifying provisionsF79] 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 [F80 or the markets in financial instruments regulationF80] —

(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 [F81 , the UK auctioning regulations F81] or any directly applicable regulation made under the UCITS directive [F82 or the alternative investment fund managers directive F82] , 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;

[F83 (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 FCAF83] ;

[F84 (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 FCAF84] ;

[F85 (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 FCAF85] ;

F86 (h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F87 (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 FCAF87] ;

[F88 (j) in relation to a contravention of a requirement imposed by a directly applicable regulation made under the Solvency 2 Directive, the PRAF88] ;

[F89 (k) in relation to a contravention of a requirement imposed by the PRIIPs regulation or any directly applicable regulation made under that Regulation, the FCAF89] ;

[F90 (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 FCAF90] ;

[F91 (m) in relation to a contravention of a requirement imposed by any directly applicable regulation made under the insurance distribution directive, the FCAF91] ;

[F92 (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 FCAF92] ;

F93 (o) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F94 Qualifying provisions F94] etc.: recognised investment exchanges [F95 , clearing houses and CSDs F95]

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;

[F96 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation; F96]

(b) the emission allowance auctioning regulation;

[F97 (ba) the UK auctioning regulations; F97]

(c) the European market infrastructure regulation;

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

[F98 (e) the CSD regulation and any directly applicable regulation made under that Regulation F98] ;

[F99 (f) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation. F99]

(4) The instruments listed in paragraph (5) are specified [F100qualifying provisionsF100] 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;

[F101 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation; F101]

(b) the emission allowance auctioning regulation;

[F102 (ba) the UK auctioning regulations; F102]

(c) the European market infrastructure regulation;

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

[F103 (e) the CSD regulation and any directly applicable regulation made under that Regulation F103] ;

[F104 (f) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation. F104]

(6) The instruments listed in paragraph (7) are specified [F105qualifying provisionsF105] 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;

[F106 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation; F106]

(b) the European market infrastructure regulation;

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

[F107 (d) the CSD regulation and any directly applicable regulation made under that Regulation F107] ;

[F108 (e) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation. F108]

(8) The instruments listed in paragraph (9) are specified [F109qualifying provisionsF109] 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;

[F110 (c) the CSD regulation and any directly applicable regulation made under that Regulation. F110]

[F111 (10) The market abuse regulation and any directly applicable regulation made under that Regulation are specified [F112qualifying provisionsF112] for the purposes of sections 296(1A) and 297(2A)(c) of the Act. F111]

[F113 (11) The SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation are specified [F112qualifying provisionsF112] for the purposes of paragraph 14(2)(d) of Schedule 17A to the Act. F113]

[F114 (12) The EU Benchmarks Regulation 2016 or any directly applicable regulation made under that Regulation are specified [F112qualifying provisionsF112] for the purposes of sections 296(1A), 297(2A)(c) and 312E(2)(c). F114]

[F115 Qualifying provisions F115] : injunctions and restitution

5. —(1) The instruments listed in paragraph (2) are specified [F116qualifying provisionsF116] 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;

[F117 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation [F118 , 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 title F118] ; F117]

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

[F119 (ba) any directly applicable regulation made under the alternative investment fund managers directive; F119]

(c) the emission allowance auctioning regulation [F120 , 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 regulation F120] ;

[F121 (ca) the UK auctioning regulations; F121]

(d) the European market infrastructure regulation;

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

[F122 (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 Regulation F122] ;

[F123 (h) the CSD regulation and any directly applicable regulation made under that Regulation F123] ;

[F124 (i) any directly applicable regulation made under the recovery and resolution directive F124] ;

F125 (j) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F126 (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 regulationF126] ;

[F127 (l) any directly applicable regulation made under the Solvency 2 Directive F127] ;

[F128 (m) the PRIIPs regulation and any directly applicable regulation made under that Regulation [F129 ; F129,F128]]

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

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

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

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 provisions F136] 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 [F138qualifying 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 regulations F140] or any directly applicable regulation made under the UCITS directive [F141 or the alternative investment fund managers directive F141] , 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] ;

[F148 (l) in relation to a contravention of a requirement imposed by the PRIIPs regulation or any directly applicable regulation made under that Regulation, the FCA[F149 ; F149,F148]]

[F150 (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 FCAF150] ;

[F151 (n) in relation to a contravention of a requirement imposed by any directly applicable regulation made under the insurance distribution directive, the FCAF151] ;

[F152 (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 FCAF152] ;

F153 (p) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[[F154,F155 (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. F155,F154]]

[F156 (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. F156]

(6) The specified [F157qualifying provisionsF157] 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;

[F158 (c) the CSD regulation and any directly applicable regulation made under that Regulation F158] ;

[F159 (d) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation. F159]

[F160 (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. F160]

[F161 Qualifying provisions F161] : fees

6. —(1) The instruments listed in paragraph (2) are specified [F162qualifying provisionsF162] for the purposes of paragraph 23(2) of Schedule 1ZA to the Act [F163 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019; F163]

(2) The instruments are—

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

[F164 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation; F164]

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

[F165 (ba) any directly applicable regulation made under the alternative investment fund managers directive; F165]

(c) the emission allowance auctioning regulation;

[F166 (ca) the UK auctioning regulations; F166]

(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;

[F167 (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 Regulation F167] ;

[F168 (j) the CSD regulation and any directly applicable regulation made under that Regulation F168] ;

[F169 (k) any directly applicable regulation made under the recovery and resolution directive F169] ;

F170 (l) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F171 (m) the market abuse regulation and any directly applicable regulation made under that Regulation F171] ;

[F172 (n) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulationF172] ;

[F173 (o) the PRIIPs regulation and any directly applicable regulation made under that Regulation [F174 ; F174,F173]]

[F175 (p) the EU Benchmarks Regulation 2016 and any directly applicable regulation made under the EU Benchmarks Regulation 2016F175] ;

[F176 (q) any directly applicable regulation made under the insurance distribution directive F176] ;

[F177 (r) the MMF Regulation and any directly applicable regulation or decision made under that Regulation F177] ;

F178 (s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[[F179,F180 (t) the EU Prospectus Regulation and any directly applicable measure made under that Regulation. F180,F179]]

(3) The instruments listed in paragraph (4) are specified [F181qualifying provisionsF181] for the purposes of paragraph 31(2) of Schedule 1ZB to the Act [F182 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019F182] .

(4) The instruments are—

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

[F183 (aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation; F183]

(b) the European market infrastructure regulation;

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

[F184 (d) the CSD regulation and any directly applicable regulation made under that Regulation F184] ;

[F185 (e) any directly applicable regulation made under the recovery and resolution directive F185] ;

[F186 (f) any directly applicable regulation made under the Solvency 2 Directive F186] ;

F187 (g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The instruments listed in paragraph (6) are specified [F188qualifying provisionsF188] for the purposes paragraph 36(2)(b) of Schedule 17A to the Act [F189 and regulation 206(1)(a) of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019F189] .

(6) The instruments are—

(a) the European market infrastructure regulation;

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

[F190 (c) the CSD regulation and any directly applicable regulation made under that Regulation F190] ;

[F191 (d) the SFT regulation and any directly applicable regulation made under Article 4(9) or 4(10) of the SFT regulation. F191]

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)

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Status of this instrument

footnotecommentarytransitional and savingsin force statusrelated provisionsgeo extentinsert/omitsource countin force adj
C1Order : 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)
F1Words 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
F2Words 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
F3Words 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
F4Words 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
F5Words 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
F6Words 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.omittedcheck commentary
F7Words 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
F8Words 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
F9Words 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
F10Words 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
F11Words 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
F12Words 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
F13Words in art. 1(2) 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(2)inserted
F14Words 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
F15Words 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
F16Art. 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) , 2substituted
F17Art. 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
F18Words 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
F19Art. 1(5A) 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)(c)inserted
F20Words 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
F21Words 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
F22Word 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
F23Art. 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
F24Art. 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
F25Art. 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
F26Art. 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
F27Art. 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
F28Art. 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
F29Art. 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
F30Art. 2(2)(k) 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(3)inserted
F31Art. 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
F32Art. 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
F33Art. 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
F34Words 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
F35Art. 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
F36Art. 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
F37Words 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
F38Words 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
F39Word 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
F40Word 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
F41Art. 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
F42Art. 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
F43Art. 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
F44Art. 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
F45Words 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
F46Art. 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
F47Art. 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
F48Art. 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
F49Art. 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
F50Art. 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
F51Art. 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
F52Words 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
F53Word 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
F54Art. 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
F55Word 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
F56Art. 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
F57Art. 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
F58Words 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
F59Words 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
F60Art. 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
F61Art. 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.omittedcheck commentary
F62Words 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
F63Words 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
F64Art. 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
F65Words 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
F66Art. 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
F67Art. 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
F68Art. 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
F69Art. 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
F70Art. 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
F71Art. 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
F72Art. 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
F73Art. 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
F74Art. 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
F75Art. 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
F76Art. 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
F77Art. 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
F78Art. 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
F79Words 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
F80Words 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
F81Words 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
F82Words 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
F83Art. 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
F84Art. 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
F85Art. 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
F86Art. 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
F87Art. 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
F88Art. 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
F89Art. 3(3)(k) 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)(b)inserted
F90Art. 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
F91Art. 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
F92Art. 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
F93Art. 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
F94Words 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
F95Words 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
F96Art. 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
F97Art. 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
F98Art. 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
F99Art. 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
F100Words 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
F101Art. 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
F102Art. 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
F103Art. 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
F104Art. 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
F105Words 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
F106Art. 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
F107Art. 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
F108Art. 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
F109Words 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
F110Art. 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
F111Art. 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
F112Words 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
F113Art. 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
F114Art. 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
F115Words 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
F116Words 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
F117Art. 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
F118Words 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
F119Art. 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
F120Words 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
F121Art. 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
F122Art. 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
F123Art. 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
F124Art. 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
F125Art. 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
F126Art. 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
F127Art. 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
F128Art. 5(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(5)(a)inserted
F129Art. 5(2)(m): semi-colon substituted for full stop (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135) , regs. 1(2) , 58(6)(a)substituted
F130Art. 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
F131Art. 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
F132Art. 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
F133Art. 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
F134Art. 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
F135Art. 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.omittedcheck commentary
F136Words 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
F137Art. 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
F138Words 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
F139Words 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
F140Words 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
F141Words 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
F142Art. 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
F143Art. 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
F144Art. 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
F145Art. 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
F146Art. 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
F147Art. 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
F148Art. 5(5)(l) 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(5)(b)inserted
F149Art. 5(5)(l): semi-colon substituted for full stop (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135) , regs. 1(2) , 58(6)(c)(i)substituted
F150Art. 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
F151Art. 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
F152Art. 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
F153Art. 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
F154Art. 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
F155Art. 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.omittedcheck commentary
F156Art. 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
F157Words 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
F158Art. 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
F159Art. 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
F160Art. 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
F161Words 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
F162Words 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
F163Words 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
F164Art. 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
F165Art. 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
F166Art. 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
F167Art. 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
F168Art. 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
F169Art. 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
F170Art. 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
F171Art. 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
F172Art. 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
F173Art. 6(2)(o) 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(6)inserted
F174Art. 6(2)(o): semi-colon substituted for full stop (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135) , regs. 1(2) , 58(7)(a)substituted
F175Art. 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
F176Art. 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
F177Art. 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
F178Art. 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
F179Art. 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
F180Art. 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.omittedcheck commentary
F181Words 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
F182Words 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
F183Art. 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
F184Art. 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
F185Art. 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
F186Art. 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
F187Art. 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
F188Words 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
F189Words 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
F190Art. 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
F191Art. 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
M12000 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.
M2Schedules 1ZA and 1ZB were inserted by Schedule 3 to the Financial Services Act 2012. Schedule 17A was inserted by Schedule 7 to that Act.
M3OJ no L 201, 27.7.2012, p1.
Defined TermSection/ArticleIDScope of Application
markets in financial instruments regulationart. 1.legTerm2WRSdMd3
MMF Regulationart. 1.MMF_Regula_rtGhDk1
PRIIPs regulationart. 1.legTermSZPlTSuQ
recovery and resolution directiveart. 1.legTermiCQ8mGWb
the Actart. 1.legTermIQq7PWmV
the EU Benchmarks Regulation 2016art. 1.legTermIFQkf6vz
the EU Prospectus Regulationart. 1.legTermDFyeqpkG
the European market infrastructure regulationart. 1.legTermfFWXaowL
the parent Regulationart. 1.the_parent_rtIJ2df
the parent Regulationart. 1.legTermNFItj6Hz
UK auctioning regulationsart. 1.UK_auction_rtl15pF
This instrument is derived from the version at www.legislation.gov.uk. To see a list of all amendments (including any to be made) check the resources page for this instrument on their website. Note, the status of this instrument is given above.
This instrument is derived from the version at www.legislation.gov.uk. To see original commencement information, check the resources page associated with this instrument. n.b. commencement information for marked amendments is embedded in the relevant footnote.

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