LegalizeFinancial Services and Markets Act 2023
Sch. 11 para. 158 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 159 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 160 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 161 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 162 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b) (with reg. 14)
Sch. 11 para. 163 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 164 in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 25(1)(4)(6)(7) in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
Sch. 11 para. 32(1)(2) in force at 31.12.2023 by S.I. 2023/1382, reg. 8(b)
S. 9(1)-(5) in force at 1.1.2024 at 1.00 a.m. by S.I. 2023/1382, reg. 10(a)
S. 1(1) in force at 1.1.2024 for specified purposes by S.I. 2023/779, reg. 5(a)
S. 1(1) in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 3(a)
Sch. 7 para. 1 in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 9(1)(d)(i)
Sch. 7 para. 2 in force at 1.1.2024 in so far as not already in force by S.I. 2023/1382, reg. 9(1)(d)(ii)
S. 10 in force at 1.1.2024 at 1.00 a.m. by S.I. 2023/1382, reg. 10(b)
S. 12 in force at 1.1.2024 at 1.00 a.m. by S.I. 2023/1382, reg. 10(c)
S. 21 in force at 1.1.2024 by S.I. 2023/1382, reg. 9(1)(a)
S. 33 in force at 1.1.2024 by S.I. 2023/1382, reg. 9(1)(b) (with reg. 15)
S. 48 in force at 1.1.2024 at 1.00 a.m. for specified purposes by S.I. 2023/1382, reg. 10(d)
S. 49 in force at 1.1.2024 at 1.00 a.m. by S.I. 2023/1382, reg. 10(e)
S. 50 in force at 1.1.2024 at 1.00 a.m. for specified purposes by S.I. 2023/1382, reg. 10(f)
S. 70(1)(3)(4) in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 9(1)(c)
Sch. 7 para. 8 in force at 1.1.2024 by S.I. 2023/1382, reg. 9(1)(d)(iii) (with reg. 15)
Sch. 1 Pt. 1 in force at 1.1.2024 for specified purposes by S.I. 2023/779, reg. 5(b)
Sch. 1 Pt. 1 in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 3(b), Sch. Pt. 1
Sch. 1 Pt. 2 in force at 1.1.2024 for specified purposes by S.I. 2023/779, reg. 5(c)
Sch. 1 Pt. 2 in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 3(c), Sch. Pt. 2
Sch. 1 Pt. 3 in force at 1.1.2024 for specified purposes by S.I. 2023/779, reg. 5(d)
Sch. 1 Pt. 3 in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 3(d), Sch. Pt. 3
Sch. 1 Pt. 4 in force at 1.1.2024 for specified purposes by S.I. 2023/779, reg. 5(e)
Sch. 1 Pt. 5 in force at 1.1.2024 for specified purposes by S.I. 2023/1382, reg. 3(e), Sch. Pt. 4
Word in Sch. 1 Pt. 1 heading substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(10)(b)
Word in Sch. 1 heading substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(10)(a)
Words in Sch. 1 Pt. 5 substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(10)(c)
Word in s. 1 heading substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(3)(a)
S. 1(3) omitted (1.1.2024) by virtue of The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(3)(c)
Words in s. 1(2)(a) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(3)(b)
Word in s. 4(3) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(4)
Words in s. 6(2)(a) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(5)(a)
Words in s. 6(3)(a) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(5)(a)
Words in s. 6(2)(b) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(5)(b)
Words in s. 6(9)(b) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(5)(b)
Words in s. 6(9)(c) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(5)(b)
Words in s. 7(1) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(6)
Words in s. 23(13) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(7)
Words in s. 24(11) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(8)
Word in s. 50(12) substituted (1.1.2024) by The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2023 (S.I. 2023/1410), regs. 1(2), 5
Words in s. 80(1) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(9)(a)
Words in s. 80(2) omitted (1.1.2024) by virtue of The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 107(9)(b)
S. 14(3): 10.1.2028 specified for the purposes of s. 14(3) (8.1.2024) by The Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023 (S.I. 2023/1398), regs. 1(2), 11
S. 20(1)-(4) in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3) (with reg. 3)
S. 20(5) in force at 7.2.2024 by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 1 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 2 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 3 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3) (with reg. 3)
Sch. 5 para. 4 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 5 in force at 7.2.2024 by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 6 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 7 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 8 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 9 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 10 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 11 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
Sch. 5 para. 12 in force at 7.2.2024 in so far as not already in force by S.I. 2023/936, reg. 2(3)
S. 51 in force at 1.3.2024 for specified purposes by S.I. 2024/250, reg. 2(a)
S. 70(2) in force at 1.3.2024 by S.I. 2024/250, reg. 2(b)
S. 70(1)(3)(4) in force at 1.3.2024 in so far as not already in force by S.I. 2024/250, reg. 2(b)
S. 71 in force at 1.3.2024 by S.I. 2024/250, reg. 2(c)
S. 1(1) in force at 5.4.2024 for specified purposes by S.I. 2023/1382, reg. 4(a)
Sch. 1 Pt. 1 in force at 5.4.2024 for specified purposes by S.I. 2023/1382, reg. 4(b)
Sch. 1 Pt. 2 in force at 5.4.2024 for specified purposes by S.I. 2023/1382, reg. 4(c)
Sch. 1 Pt. 3 in force at 5.4.2024 for specified purposes by S.I. 2023/1382, reg. 4(d)
S. 1(1) in force at 30.6.2024 for specified purposes by S.I. 2023/1382, reg. 5(a)
Sch. 1 Pt. 2 in force at 30.6.2024 for specified purposes by S.I. 2023/1382, reg. 5(b)
Sch. 1 Pt. 3 in force at 30.6.2024 for specified purposes by S.I. 2023/1382, reg. 5(c)
S. 43 in force at 1.8.2024 for specified purposes by S.I. 2023/1382, reg. 11(a)
S. 51 in force at 1.8.2024 for specified purposes by S.I. 2024/250, reg. 3(a)
Sch. 7 para. 1 in force at 1.8.2024 for specified purposes by S.I. 2024/250, reg. 3(b)
Sch. 7 para. 7 in force at 1.8.2024 for specified purposes by S.I. 2023/1382, reg. 11(c)
S. 50 in force at 1.8.2024 in so far as not already in force by S.I. 2023/1382, reg. 11(b)
S. 1(1) in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 2(a)
S. 2(1) in force at 29.10.2024 for specified purposes by S.I. 2024/1071, regs. 2(b), 3(a)
S. 64 in force at 29.10.2024 by S.I. 2024/1071, reg. 2(c)
Sch. 2 para. 1 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, regs. 2(e)(i), 3(b)(i)
Sch. 2 para. 7 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(ii)
Sch. 2 para. 8 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(iii)
Sch. 2 para. 10 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(iv)
Sch. 2 para. 11 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(v)
Sch. 2 para. 12 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(vi)
Sch. 2 para. 26 in force at 29.10.2024 by S.I. 2024/1071, reg. 2(e)(ii)
Sch. 2 para. 27 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(ix)
Sch. 2 para. 44 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(c)(i)
Sch. 2 para. 45 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(c)(ii)
Sch. 2 para. 49 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(c)(iii)
Sch. 1 Pt. 3 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 2(d)
Sch. 2 para. 17 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(vii)
Sch. 2 para. 18 in force at 29.10.2024 for specified purposes by S.I. 2024/1071, reg. 3(b)(viii)
S. 1(1) in force at 1.11.2024 for specified purposes by S.I. 2024/891, reg. 2(a)
Sch. 1 Pt. 1 in force at 1.11.2024 for specified purposes by S.I. 2024/891, reg. 2(b)
Sch. 1 Pt. 2 in force at 1.11.2024 for specified purposes by S.I. 2024/891, reg. 2(c)
Sch. 1 Pt. 3 in force at 1.11.2024 for specified purposes by S.I. 2024/891, reg. 2(d)
Sch. 1 Pt. 5 in force at 1.11.2024 for specified purposes by S.I. 2024/891, reg. 2(e)
S. 2(1) in force at 1.12.2024 for specified purposes by S.I. 2024/1071, reg. 4(a)
Sch. 2 para. 25 in force at 1.12.2024 in so far as not already in force by S.I. 2024/1071, reg. 4(b)(viii)
Sch. 2 para. 1 in force at 1.12.2024 for specified purposes by S.I. 2024/1071, reg. 4(b)(i)
Sch. 2 para. 7 in force at 1.12.2024 in so far as not already in force by S.I. 2024/1071, reg. 4(b)(ii)
Sch. 2 para. 10 in force at 1.12.2024 in so far as not already in force by S.I. 2024/1071, reg. 4(b)(iii)
Sch. 2 para. 11 in force at 1.12.2024 in so far as not already in force by S.I. 2024/1071, reg. 4(b)(iv)
Sch. 2 para. 20 in force at 1.12.2024 by S.I. 2024/1071, reg. 4(b)(v)
Sch. 2 para. 21 in force at 1.12.2024 by S.I. 2024/1071, reg. 4(b)(vi)
Sch. 2 para. 24 in force at 1.12.2024 by S.I. 2024/1071, reg. 4(b)(vii)
S. 1(1) in force at 31.12.2024 for specified purposes by S.I. 2024/620, reg. 2(a)
S. 1(1) in force at 31.12.2024 for specified purposes by S.I. 2024/1071, reg. 5(a)
S. 2(1) in force at 31.12.2024 for specified purposes by S.I. 2024/1071, reg. 5(b)
Sch. 2 para. 1 in force at 31.12.2024 for specified purposes by S.I. 2024/1071, reg. 5(d)(i)
Sch. 1 Pt. 2 in force at 31.12.2024 for specified purposes by S.I. 2024/620, reg. 2(b) (with saving for Gibraltar groups and undertakings in S.I. 2024/1083, regs. 1(2)(b), 3)
Sch. 1 Pt. 3 in force at 31.12.2024 for specified purposes by S.I. 2024/620, Sch. (with saving for Gibraltar groups and undertakings in S.I. 2024/1083, regs. 1(2)(b), 3)
Sch. 1 Pt. 3 in force at 31.12.2024 for specified purposes by S.I. 2024/1071, reg. 5(c), Sch.
Sch. 1 Pt. 5 in force at 31.12.2024 for specified purposes by S.I. 2024/620, reg. 2(d) (with saving for Gibraltar groups and undertakings in S.I. 2024/1083, regs. 1(2)(b), 3)
Sch. 2 para. 17 in force at 31.12.2024 in so far as not already in force by S.I. 2024/1071, reg. 5(d)(ii)
S. 27 in force at 1.1.2025 for specified purposes by S.I. 2023/1382, reg. 12(a) (with reg. 16(1))
S. 51 in force at 1.1.2025 for specified purposes by S.I. 2023/1382, reg. 12(c) (with reg. 16(2))
S. 51 in force at 1.1.2025 in so far as not already in force by S.I. 2024/250, reg. 4(a)
Sch. 7 para. 1 in force at 1.1.2025 in so far as not already in force by S.I. 2024/250, reg. 4(b)
Sch. 7 para. 3 in force at 1.1.2025 for specified purposes by S.I. 2023/1382, reg. 12(d) (with reg. 16(2))
S. 48 in force at 1.1.2025 for specified purposes by S.I. 2023/1382, reg. 12(b) (with reg. 16(1))
S. 48 in force at 1.2.2025 for specified purposes by S.I. 2023/1382, reg. 13
S. 2(1) in force at 31.3.2025 for specified purposes by S.I. 2024/1071, reg. 6(a)
Sch. 2 para. 1 in force at 31.3.2025 for specified purposes by S.I. 2024/1071, reg. 6(b)(i)
Sch. 2 para. 22 in force at 31.3.2025 by S.I. 2024/1071, reg. 6(b)(ii)
Sch. 2 para. 27 in force at 31.3.2025 in so far as not already in force by S.I. 2024/1071, reg. 6(b)(iii)
S. 1(1) in force at 14.5.2025 for specified purposes by S.I. 2025/572, reg. 2(a)
Sch. 1 Pt. 3 in force at 14.5.2025 for specified purposes by S.I. 2025/572, reg. 2(b)
Sch. 1 Pt. 4 in force at 14.5.2025 for specified purposes by S.I. 2025/572, reg. 2(c)
Sch. 1 Pt. 5 in force at 14.5.2025 for specified purposes by S.I. 2025/572, reg. 2(d)
S. 14(3): 5.6.2029 specified for the purposes of s. 14(3) (5.6.2025) by The Financial Services and Markets Act 2023 (Private Intermittent Securities and Capital Exchange System Sandbox) Regulations 2025 (S.I. 2025/583), regs. 1(2), 19 (with reg. 20)
S. 2(1) in force at 30.6.2025 for specified purposes by S.I. 2024/1071, reg. 7(a)
Sch. 2 para. 1 in force at 30.6.2025 for specified purposes by S.I. 2024/1071, reg. 7(b)(i)
Sch. 2 para. 18 in force at 30.6.2025 in so far as not already in force by S.I. 2024/1071, reg. 7(b)(ii)
S. 1(1) in force at 15.7.2025 for specified purposes by S.I. 2025/873, reg. 2(a)
Sch. 1 Pt. 1 in force at 15.7.2025 for specified purposes by S.I. 2025/873, reg. 2(b)
S. 1(1) in force at 31.7.2025 for specified purposes by S.I. 2025/572, reg. 3(a)
Sch. 1 Pt. 2 in force at 31.7.2025 for specified purposes by S.I. 2025/572, reg. 3(b)
S. 1(1) in force at 23.10.2025 for specified purposes by S.I. 2025/1078, reg. 2(a) (with reg. 11)
Sch. 1 Pt. 3 in force at 23.10.2025 for specified purposes by S.I. 2025/1078, reg. 2(b) (with reg. 11)
S. 2(1) in force at 26.11.2025 for specified purposes by S.I. 2025/1078, reg. 3(a)
Sch. 2 para. 3 in force at 26.11.2025 by S.I. 2025/1078, reg. 3(b)
S. 1(1) in force at 28.11.2025 for specified purposes by S.I. 2025/873, reg. 3(a) (with reg. 5)
Sch. 1 Pt. 2 in force at 28.11.2025 for specified purposes by S.I. 2025/873, reg. 3(b) (with reg. 5)
S. 1(1) in force at 1.12.2025 for specified purposes by S.I. 2025/1078, reg. 4(a)
S. 2(1) in force at 1.12.2025 for specified purposes by S.I. 2024/1071, reg. 8(a)
Sch. 2 para. 1 in force at 1.12.2025 for specified purposes by S.I. 2024/1071, reg. 8(b)(i)
Sch. 2 para. 8 in force at 1.12.2025 in so far as not already in force by S.I. 2024/1071, reg. 8(b)(ii)
Sch. 2 para. 12 in force at 1.12.2025 in so far as not already in force by S.I. 2024/1071, reg. 8(b)(iii)
Sch. 1 Pt. 1 in force at 1.12.2025 for specified purposes by S.I. 2025/1078, reg. 4(b)
S. 1(1) in force at 1.1.2026 for specified purposes by S.I. 2025/873, reg. 4(a) (with reg. 6)
Sch. 1 Pt. 1 in force at 1.1.2026 for specified purposes by S.I. 2025/873, reg. 4(b) (with reg. 6)
Sch. 1 Pt. 3 in force at 1.1.2026 for specified purposes by S.I. 2025/873, reg. 4(c) (with reg. 6)
S. 1(1) in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(a) (with reg. 12)
Sch. 1 Pt. 1 in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(b) (with reg. 12)
Sch. 1 Pt. 2 in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(c)(i)
Sch. 1 Pt. 2 in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(c)(ii)
Sch. 1 Pt. 3 in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(d)(i)
Sch. 1 Pt. 3 in force at 19.1.2026 for specified purposes by S.I. 2025/1078, reg. 5(d)(ii)
Words in Sch. 11 para. 35(3)(d) omitted (30.1.2024 for specified purposes, 19.1.2026 in so far as not already in force) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 26 (with regs. 48-50); S.I. 2025/1078, reg. 5(b) (with reg. 12)
S. 1(1) in force at 30.3.2026 for specified purposes by S.I. 2025/1078, reg. 6(a)
Sch. 1 Pt. 1 in force at 30.3.2026 for specified purposes by S.I. 2025/1078, reg. 6(b)
S. 1(1) in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(a)
Sch. 1 Pt. 1 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(b)
Sch. 1 Pt. 2 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(c)
Sch. 1 Pt. 3 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(d)(i)
Sch. 1 Pt. 3 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(d)(ii)
Sch. 1 Pt. 3 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(d)(iii)
Sch. 1 Pt. 5 in force at 6.4.2026 for specified purposes by S.I. 2025/1078, reg. 7(e)
Transparency requirements for equities
Participation
Technology
Practices
Financial instruments
Settlement of payments
Requirements
Cooperation
Transparency and reporting
Enforcement
Financial Services Act 2012
Overview
Reverse share transfer
Safeguards relating to directions under paragraph 2
Resolution plans
Removal of directors and senior managers
Temporary manager
Paragraphs 5 and 6: conditions
Temporary manager: further provisions in relation to the appointment
Temporary manager: instrument of appointment
Right to refer matters to the Tribunal
Procedure
Removal of directors and senior managers and appointment of temporary manager: notice requirements
Transfer of property subsequent to resolution instrument
Restriction on remuneration: review and revocation
Special resolution objectives
Code of Practice
General conditions
Effect on other group members
Specific conditions: financial assistance cases
Resolution liaison panel
Restrictions on use of certain resolution powers
Pre-resolution valuation
Replacement of Bank’s provisional valuation
Independent valuer: valuation under paragraph 22 or 23
Independent valuer: supplemental
Consequences of a replacement valuation
Private sector purchaser
Private sector purchaser: marketing
Bridge central counterparty
Transfer of ownership
Tear-up power
Cash call power
Power to reduce variation margin payments
Write-down power
Powers in relation to securities
Report on provisions in write-down instrument
Priority between creditors
Power to take control
Shadow directors etc
Interpretation: “securities”
Share transfer instrument
Effect
Continuity
Conversion and delisting
Directors and senior managers
Ancillary instruments: production, registration, etc
Incidental provision
Procedure: instruments
Supplemental instruments
Onward transfer
Reverse share transfer
Bridge central counterparties: share transfers
Bridge central counterparties: reverse share transfer
Property transfer instrument
Disputes
Transferable property
Continuity
Directors and senior managers
Recognised central counterparty rules
Recognised central counterparty membership
Licences
Foreign property
Incidental provision
International obligation notice: general
Property transfer instrument: delisting
Transfer of property subsequent to resolution instrument
Supplemental instruments
Private sector purchaser: reverse property transfer
Onward transfer
Bridge central counterparties: reverse property transfer
Transfer of ownership and private sector purchaser: property transfer
Transfer of ownership: reverse property transfer
Bridge central counterparty: supplemental property transfer powers
Bridge central counterparty: supplemental reverse property transfer powers
Restriction of partial transfers
Power to protect certain interests
Creation of liabilities
Regulations for safeguarding certain financial arrangements: write-down instruments
Resolution instruments: effect and supplementary matters
Write-down instruments: supplementary
Resolution instruments: procedure
Supplemental resolution instruments
Directors and senior managers
Termination rights etc
Deferment
Recovery of expenses
Compensation scheme
Instruments: notification of members and creditors
General continuity obligation: property transfers
Special continuity obligations: property transfers
Continuity obligations: onward property transfers
General continuity obligation: share transfers
Special continuity obligations: share transfers
Continuity obligations: onward share transfers
Continuity obligations: consideration and terms
Continuity obligations: termination
Suspension of obligations
Giving of notices, documents etc under this Schedule
Suspension of termination rights
Suspension: general provision
Stay on terminating membership
Restriction on remuneration
Pensions
Disputes
Tax
Stay or sist of legal proceedings
Insolvency proceedings
Recognition of transferee company
International obligation notice: general
International obligation notice: bridge central counterparty
Public funds: general
Public funds: bridge central counterparty
Private sector purchaser: report
Bridge central counterparty: report
Resolution instruments: report
Transfer of ownership: report
Sale to commercial purchaser, transfer to bridge central counterparty and transfer of ownership: conditions for group companies
Paragraph 117: supplemental
Information
Reports by skilled persons
Appointment of persons to carry out general investigations
Appointment of person to carry out investigations in particular cases
Investigations etc in support of foreign resolution authorities
Investigations: general
Powers of persons appointed under paragraph 121
Powers of persons appointed as a result of paragraph 122
Admissibility of statements made to investigators
Information and documents: supplemental provision
Protected items
Entry of premises under warrant
Retention of documents obtained under paragraph 130
Offences etc
Prosecution of offences under paragraph 132
Offences under paragraph 132 by bodies corporate etc
Injunctions to prevent failure to comply with relevant requirement
Regulatory sanctions
Determination of sanctions
Injunctions: failure to comply with certain paragraph 136 sanctions
Procedure: decision notice
Procedure: general
Appeals
Injunctions: failure to comply with certain paragraph 136 sanctions
Publication
Co-operation
Third-country resolution actions
Effects of recognition on third-country resolution action
Third-country instruments: supplementary provision
Information
Restrictions on disclosure of confidential information
Remedies on judicial review
Giving of notices, documents etc under this Schedule
“Financial assistance”
Modifications to the law
Interpretation
Recognised central counterparty
Interpretation: “CCP group company”, etc
Consolidated Fund
National Loans Fund
Bank of England Act 1998
Financial Services and Markets Act 2000
Companies Act 2006
Banking Act 2009
Financial Services Act 2012
Financial Services (Banking Reform) Act 2013
Modified application of corporate law to CCPs in resolution
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Specified financial activities
Exercise of FMI regulatory powers
Bank of England: rule-making powers
Application of FSMA 2000 to FMI functions
Payment Systems Regulator
Chair of the Payment Systems Regulator as member of FCA Board
Consultation on rules
Cash access services
Wholesale cash distribution
Recognised bodies: senior managers and certification
Central counterparties in financial difficulties
Insurers in financial difficulties
Application of provisions to regulatory functions under this Act
Formerly authorised persons
Control over authorised persons
Financial services compensation scheme
The Ombudsman scheme
Arrangements for the investigation of complaints
Politically exposed persons: review of guidance
Ambulatory references
Power to amend or repeal certain provisions of FSMA 2000
Power under FSMA 2000 to make transitional provisions
Cryptoassets
Bank of England levy
Bank of England levy: consequential amendments
Liability of payment service providers for fraudulent transactions
Credit unions
Reinsurance for acts of terrorism
Banking Act 2009: miscellaneous amendments
Arrangements for the investigation of complaints
Politically exposed persons: money laundering and terrorist financing
Politically exposed persons: review of guidance
Forest risk commodities: review
Interpretation
Pre-commencement consultation
Financial provision
Power to make consequential provision
Regulations
Extent
Commencement
Short title
Any provision made under any of the following EU directives—
Any provision made under an instrument listed in Part 1 (including any such instrument as it had effect in EU law before IP completion day).
Any provision made under an instrument listed in Part 2.
Any technical standards to which Chapter 2A of Part 9A of FSMA 2000 applies.
In FSMA 2000—
EU-derived legislation not falling within Parts 1 to 3 so far as relating to financial services or markets (other than instruments excluded from this Part by regulations under section 1(5)).
For this purpose—
Transparency requirements for equities
Participation
Technology
Practices
Financial instruments
Settlement of payments
Requirements
Cooperation
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