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The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

Status:

This is the original version (as it was originally made).

  1. Introductory Text

  2. PART I GENERAL

    1. 1.Citation

    2. 2.Commencement

    3. 3.Interpretation

  3. PART II SPECIFIED ACTIVITIES

    1. Chapter I General

      1. 4.Specified activities: general

    2. Chapter II Accepting Deposits

      1. The activity

        1. 5.Accepting deposits

      2. Exclusions

        1. 6.Sums paid by certain persons

        2. 7.Sums received by solicitors etc.

        3. 8.Sums received by persons authorised to deal etc.

        4. 9.Sums received in consideration for the issue of debt securities

    3. Chapter III Insurance

      1. The activities

        1. 10.Effecting and carrying out contracts of insurance

      2. Exclusions

        1. 11.Community co-insurers

        2. 12.Breakdown insurance

      3. Supplemental

        1. 13.Application of sections 327 and 332 of the Act to insurance market activities

    4. Chapter IV Dealing in Investments as Principal

      1. The activity

        1. 14.Dealing in investments as principal

      2. Exclusions

        1. 15.Absence of holding out etc.

        2. 16.Dealing in contractually based investments

        3. 17.Acceptance of instruments creating or acknowledging indebtedness

        4. 18.Issue by a company of its own shares etc.

        5. 19.Risk management

        6. 20.Other exclusions

    5. Chapter V Dealing in Investments as Agent

      1. The activity

        1. 21.Dealing in investments as agent

      2. Exclusions

        1. 22.Deals with or through authorised persons

        2. 23.Risk management

        3. 24.Other exclusions

    6. Chapter VI Arranging Deals in Investments

      1. The activities

        1. 25.Arranging deals in investments

      2. Exclusions

        1. 26.Arrangements not causing a deal

        2. 27.Enabling parties to communicate

        3. 28.Arranging transactions to which the arranger is a party

        4. 29.Arranging deals with or through authorised persons

        5. 30.Arranging transactions in connection with lending on the security of insurance policies

        6. 31.Arranging the acceptance of debentures in connection with loans

        7. 32.Provision of finance

        8. 33.Introducing

        9. 34.Arrangements for the issue of shares etc.

        10. 35.International securities self-regulating organisations

        11. 36.Other exclusions

    7. Chapter VII Managing Investments

      1. The activity

        1. 37.Managing investments

      2. Exclusions

        1. 38.Attorneys

        2. 39.Other exclusions

    8. Chapter VIII Safeguarding and Administering Investments

      1. The activity

        1. 40.Safeguarding and administering investments

      2. Exclusions

        1. 41.Acceptance of responsibility by third party

        2. 42.Introduction to qualifying custodians

        3. 43.Activities not constituting administration

        4. 44.Other exclusions

    9. Chapter IX Sending Dematerialised Instructions

      1. The activities

        1. 45.Sending dematerialised instructions

      2. Exclusions

        1. 46.Instructions on behalf of participating issuers

        2. 47.Instructions on behalf of settlement banks

        3. 48.Instructions in connection with takeover offers

        4. 49.Instructions in the course of providing a network

        5. 50.Other exclusions

    10. Chapter X Collective Investment Schemes

      1. The activities

        1. 51.Establishing etc. a collective investment scheme

    11. Chapter XI Stakeholder Pension Schemes

      1. The activities

        1. 52.Establishing etc. a stakeholder pension scheme

    12. Chapter XII Advising on Investments

      1. The activity

        1. 53.Advising on investments

      2. Exclusions

        1. 54.Advice given in newspapers etc.

        2. 55.Other exclusions

    13. Chapter XIII Lloyd's

      1. The activities

        1. 56.Advice on syndicate participation at Lloyd's

        2. 57.Managing the underwriting capacity of a Lloyd’s syndicate

        3. 58.Arranging deals in contracts of insurance written at Lloyd's

    14. Chapter XIV Funeral Plan Contracts

      1. The activity

        1. 59.Funeral plan contracts

      2. Exclusion

        1. 60.Plans covered by insurance or trust arrangements

    15. Chapter XV Regulated Mortgage Contracts

      1. The activities

        1. 61.Regulated mortgage contracts

      2. Exclusions

        1. 62.Arranging administration by authorised person

        2. 63.Administration pursuant to agreement with authorised person

    16. Chapter XVI Agreeing to Carry on Activities

      1. The activity

        1. 64.Agreeing to carry on specified kinds of activity

      2. Exclusion

        1. 65.Overseas persons

    17. Chapter XVII Exclusions Applying to Several Specified Kinds of Activity

      1. 66.Trustees, nominees and personal representatives

      2. 67.Activities carried on in the course of a profession or non-investment business

      3. 68.Activities carried on in connection with the sale of goods or supply of services

      4. 69.Groups and joint enterprises

      5. 70.Activities carried on in connection with the sale of a body corporate

      6. 71.Activities carried on in connection with employee share schemes

      7. 72.Overseas persons

  4. PART III SPECIFIED INVESTMENTS

    1. 73.Investments: general

    2. 74.Deposits

    3. 75.Contracts of insurance

    4. 76.Shares etc.

    5. 77.Instruments creating or acknowledging indebtedness

    6. 78.Government and public securities

    7. 79.Instruments giving entitlements to investments

    8. 80.Certificates representing certain securities

    9. 81.Units in a collective investment scheme

    10. 82.Rights under a stakeholder pension scheme

    11. 83.Options

    12. 84.Futures

    13. 85.Contracts for differences etc.

    14. 86.Lloyd’s syndicate capacity and syndicate membership

    15. 87.Funeral plan contracts

    16. 88.Regulated mortgage contracts

    17. 89.Rights to or interests in investments

  5. PART IV CONSEQUENTIAL PROVISIONS

    1. Regulated mortgage contracts: consequential provisions

      1. 90.Consequential amendments of the Consumer Credit Act 1974

      2. 91.Consequential amendments of subordinate legislation under the Consumer Credit Act 1974

  6. Signature

    1. SCHEDULE 1

      CONTRACTS OF INSURANCE

      1. PART I CONTRACTS OF GENERAL INSURANCE

        1. 1.Accident

        2. 2.Sickness

        3. 3.Land vehicles

        4. 4.Railway rolling stock

        5. 5.Aircraft

        6. 6.Ships

        7. 7.Goods in transit

        8. 8.Fire and natural forces

        9. 9.Damage to property

        10. 10.Motor vehicle liability

        11. 11.Aircraft liability

        12. 12.Liability of ships

        13. 13.General liability

        14. 14.Credit

        15. 15.Suretyship

        16. 16.Miscellaneous financial loss

        17. 17.Legal expenses

        18. 18.Assistance

      2. PART II CONTRACTS OF LONG-TERM INSURANCE

        1. I.Life and annuity

        2. II.Marriage and birth

        3. III.Linked long term

        4. IV.Permanent health

        5. V.Tontines

        6. VI.Capital redemption contracts

        7. VII.Pension fund management

        8. VIII.Collective insurance etc.

        9. IX.Social insurance

    2. SCHEDULE 2

      ANNEX TO THE INVESTMENT SERVICES DIRECTIVE

    3. SCHEDULE 3

      ARTICLE 2.2 OF THE INVESTMENT SERVICES DIRECTIVE

  8. Explanatory Note

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