The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2017

A full impact assessment of the effect that this Order will have on the costs of business and the voluntary sector is available from HM Treasury, 1 Horse Guards Road, London SW1A 2HQ or on www.gov.uk and is published alongside the Order on www.legislation.gov.uk.

Footnotes

[^f00001]: 2000 c.8. Sections 137D and 137E were inserted by section 24 of the Financial Services Act 2012 (c.21). Paragraph 25 of Schedule 2 was amended, and paragraph 26 was substituted, by section 8 of the Financial Services Act 2012.

[^f00002]: Section 59 was amended by section 14 of, and paragraph 3 of Schedule 5 to, the Financial Services Act 2012 and section 18 of and paragraph 1 of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c.33) and S.I. 2012/1906 and 2013/1773. It is prospectively amended by paragraph 2 of Schedule 4 to the Bank of England and Financial Services Act 2016 (c.14).

[^f00003]: S.I. 2001/544.

[^f00004]: The definition of “the Commission Regulation” was inserted by S.I. 2006/3384. The definitions of “credit institution”, “financial instrument”, “investment firm”, “market operator” and “multilateral trading facility” were inserted by S.I. 2006/3384. The definition of “home Member State” was inserted by S.I. 2006/3384 and amended by S.I. 2013/3115 and 2015/910. The definition of “investment services and activities” was inserted by S.I. 2006/3384 and substituted by S.I. 2012/1906. The definition of “overseas person” was amended by S.I. 2003/1475 and 1476, 2006/2383 and 3384, 2009/1342 and 2013/1773.

[^f00005]: The Commission Delegated Regulation has been adopted but has not yet been published in the Official Journal of the European Union. A copy is available at http://ec.europa.eu/finance/securities/docs/isd/mifid/160425-delegated-regulation_en.pdf.

[^f00006]: OJ L174, 1/7/2011, p.1.

[^f00007]: OJ L173, 12/6/2014, p.349.

[^f00008]: OJ L173, 12/6/2014, p.84.

[^f00009]: Article 25D was inserted by S.I. 2006/3384.

[^f00010]: OJ L173, 12/6/2014, p.84.

[^f00011]: Articles 21 and 25 were amended by S.I. 2003/1476 and 2006/3384. Article 53 was amended by S.I. 2003/1476 and 2016/392.

[^f00012]: Article 72(1) to (4) was amended by S.I. 2006/3384 and paragraph (10) was inserted by S.I. 2015/910.

[^f00013]: Article 82A was inserted by S.I. 2012/1906.

[^f00014]: Article 83 was amended by S.I. 2006/3384 and 2011/1613.

[^f00015]: Article 84 was amended by S.I. 2006/3384 and 2011/1613.

[^f00016]: Article 85 was amended by S.I. 2006/3384 and 2011/1613.

[^f00017]: Schedule 2 was substituted by S.I. 2006/3384.

[^f00018]: OJ L275, 25/10/2003, p.32.

[^f00019]: Schedule 3 was substituted by S.I. 2006/3384.

[^f00020]: Article 4(4) was substituted by S.I. 2006/3384.

[^f00021]: Article 14 was amended by S.I. 2006/3384.

[^f00022]: Article 18 was amended by S.I. 2001/3544 and 2010/86.

[^f00023]: Article 64 was amended by S.I. 2002/682, 2006/3384, 2009/1389 and 2013/1773 and 1881.

[^f00024]: Article 72H was inserted by S.I. 2014/366.

[^f00025]: Section 137D was inserted by section 24 of the Financial Services Act 2012.

[^f00026]: Section 1D was inserted by section 6 of the Financial Services Act 2012.

[^f00027]: Part 4A was inserted by section 11 of the Financial Services Act 2012 (and includes section 55U and 55V).

[^f00028]: Section 60 was amended by paragraph 4 of Schedule 5 to the Financial Services Act 2012, section 20 of the Financial Services (Banking Reform) Act 2013 and is prospectively amended by paragraph 4 of Schedule 4 to the Bank of England and Financial Services Act 2016.

[^f00029]: Section 63ZA was inserted by section 26 of the Financial Services (Banking Reform) Act 2013 and amended by section 23 of, and paragraph 9 of Schedule 4 to, the Bank of England and Financial Services Act 2016.

[^f00030]: Section 61(3) was amended by paragraph 5 of Schedule 5 to the Financial Services Act 2012.

[^f00031]: Section 55U(6) was inserted by section 11(2) of the Financial Services Act 2012.

[^f00033]: 1973 c.41; section 118(6A) was inserted by S.I. 2001/3649 and paragraph (ba) was inserted by S.I. 2006/3384.

[^f00034]: 1989 c.40; section 176(8) was inserted by S.I. 2001/3649 and paragraph (ba) was inserted by S.I. 2006/3384.

[^f00035]: 2000 c.11; paragraph 6(1A) of Schedule 6 was inserted by S.I. 2001/3649 and paragraph (ba) was inserted by S.I. 2006/3384.

[^f00036]: S.I. 2001/1062 amended by S.I. 2006/3384 and 2008/1641; there are other amendments but none is relevant.

[^f00037]: S.I. 2001/1177. Article 3(2)(ca) was inserted by S.I. 2006/3384. There are other amendments but none is relevant.

[^f00038]: S.I.2001/1201. Article 5 and paragraphs 42 and 49 of the Schedule were amended by S.I. 2007/125. There are other amendments but none is relevant.

[^f00039]: S.I. 2001/1217, amended by S.I. 2001/2508, 2003/1476, 2004/453 and 2006/3414. There are other amendments but none is relevant.

[^f00040]: S.I. 2001/1227. Articles 2, 5 and 6 were amended by S.I. 2003/1476. There are other amendments but none is relevant.

[^f00041]: S.I. 2005/1529. Paragraph 4A of Schedule 1 was inserted by S.I. 2006/3384. Paragraph 7 of Schedule 1 was amended by S.I. 2016/392. Paragraph 15A of Schedule 1 was inserted by S.I. 2010/86. Paragraph 21 of Schedule 1 was amended by S.I. 2006/3384 and 2011/1613. Paragraphs 22 and 23 of Schedule 1 were amended by S.I. 2006/3384. There are other amendments but none is relevant.

[^f00042]: OJ L173, 12/6/2014, p.349.

[^f00043]: S.I. 2008/1816.

Editorial notes

[^key-2929bdaf4988b94fdd0e25e357171465]: Art. 1 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-722fdc8baf7c43633bc95db8322132c4]: Art. 2 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-4527537f69895259aee4b1da6c154401]: Art. 3 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-a476f96165a9b305ea0ad3da98b12c1a]: Art. 4 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-e2166a19cb357b939eebc55208c72406]: Art. 5 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-bda5b6ef7dadefe4fc0e0e8116bde898]: Art. 6 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-1b21da7855511fe4985e2d12682fb3cf]: Art. 7 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-c71b724e9dd9f9fbf23d35f5fd7676e6]: Art. 8 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-c1db6a9d2ed782e3329aa8af6ba2cea8]: Art. 9 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-154ff24a5b1950b23b794fffdd0f08ae]: Art. 10 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-e57863b4cc49e95a5af997d5054b34e8]: Art. 11 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-34d1e9c5f1382d5bfdb44622a24eb814]: Art. 12 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-ff85128163b577c86f0e783bc6e6b109]: Art. 13 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-bb890a632031c61dfb19f2aa470402a3]: Art. 14 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-3f00a51d14f6789fb8b267f3a522a1e5]: Art. 15 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-543cb7d8a2f7cba5ee910df70c8b1ab8]: Art. 16 in force at 1.4.2017, see art. 1(2)(b)

[^key-e2da03d0ee87d911368af0a82241f31f]: Sch. para. 1 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-4003322818aab117aaf733609180707e]: Sch. para. 2 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-4ba25d38ed178e8ee26e823645f987f5]: Sch. para. 3 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-4d48a9196b0fd9ac9b06e0419210cde7]: Sch. para. 4 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-8d4d63704dae3b52cbeef2870116216c]: Sch. para. 5 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-c769796639a8aacdfbd19420f221d4f9]: Sch. para. 6 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-94991660ac0ab11e8e4f2d9fd5b1e22a]: Sch. para. 7 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-c088216b69fade24d550c7d849b63a77]: Sch. para. 8 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-8ef6c48e2ae1344a78c7bf197edce342]: Sch. para. 9 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-ac37206ae3290d3a81ef571bae26451a]: Sch. para. 10 in force at 1.4.2017 for specified purposes and 3.1.2018 in so far as not already in force, see art. 1(2)(a)(c)

[^key-938c4c647e7b7bb8bcf3843cb048c049]: Art. 16(2A)(2B) inserted (2.1.2018) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) (No.2) Regulations 2017 (S.I. 2017/1255), regs. 2(a), 10(b)

[^key-b15408b63ccf05819c8bab5392a9ff75]: Words in art. 16(1)(a) substituted (2.1.2018) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) (No.2) Regulations 2017 (S.I. 2017/1255), regs. 2(a), 10(a)

[^key-b3df2b38a0d7ee121e2ecf8320900aff]: Order: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pt. 2; S.I. 2023/779, reg. 2(d)