LIST OF SECONDARY LEGISLATION UNDER THE FINANCIAL SERVICES AND MARKETS ACT 2000: Ordered by FSMA section number
1 March 2002
|
FSMA SECTION NUMBER |
DESCRIPTION |
STATUS |
|
20 (3) |
Rights of Action Regulations |
Made (20/06/2001-2256) |
|
21 |
Financial Promotion Order Financial Promotion Amendment Order Financial Promotion Amendment No.2 Order Miscellaneous Provisions |
Made (2/04/2001-1335) Made (20/07/2001-2633) Made (28/11/01- 3800) Made (9/11/2001-3650) |
|
22 and SCH.2 |
Regulated Activities Order Regulated Activities Amendment Miscellaneous Provisions
|
Made (1/11/2001-544) Made (1/11/2001-3544) Made (9/11/2001-3650) |
|
31 (1)(b) & 37 SCH.3 |
EEA Passport Rights |
Made (12/07/2001-2511) |
|
38 (1) |
Exemption Order Exemption Amendment Order |
Made (26/03/2001-1201) Made (7/11/2001-3623) |
|
39 (1) |
Appointed Representatives Regulations Appointed Representatives (Amendment) Regulations |
Made (28/03/2001-1217) Made (12/7/2001-2508) |
|
41 SCH.6 |
Variation of Threshold Conditions Order |
Made (12/07/2001-2507) |
|
47 (1) & (3) (b) & (c) |
Own-Initiative Power (Overseas Regulators) Regulations |
Made (19/7/2001-2639) |
|
71 (2) & (3) |
Rights of Action Regulations |
Made (20/06/2001-2256) |
|
75 (3) |
Official Listing of Securities Regulations Official Listing of Securities Amendment Regulations |
Made (22/08/2001-2956) Made (18/10/2001-3439) |
|
79 (3) |
Official Listing of Securities Regulations |
Made (22/08/2001-2956) |
|
87 (4) |
Offers of Securities Order |
Made (22/08/2001-2958) |
|
87(5) SCH.9 & 103 (1) |
Official Listing of Securities Regulations |
Made (22/08/2001-2956) |
|
103 (6) SCH.11 SCH.11-16 (3) & (4) & SCH 11-20 (2) |
Offers of Securities Order Official Listing of Securities Regulations |
Made (22/08/2001-2958) Made (22/08/2001-2956) |
|
108 (1) |
Control of Business Transfers (Requirements on Applicants) |
Made (7/11/2001-3625) |
|
117 (a) & (b) |
Powers to make exemptions from Part VII |
Not yet exercised |
|
118 (3) |
Prescribed Markets and Qualifying Investments Order Prescribed Markets and Qualifying Investments (Amendment) Order |
Made (15/03/2001-996) Made (13/11/2001-3681) |
|
132 (3) |
Tribunal Rules |
Made (9/07/2001 - 2476) |
|
134 & 135 |
The Financial Services and Markets Tribunal (Legal Assistance) Regulations The Financial Services and Markets Tribunal (Legal Assistance Scheme Costs) Regulations |
Made (8/11/2001-3632) Made (8/11/2001-3633) |
|
142 (1) |
Supplement Asset Identification rules for parents of insurance companies |
Not yet exercised |
|
142 (4) |
Make mortgages or charges created in breach of asset identification rules void |
Not yet exercised |
|
150 (3) & (5) |
Rights of Action Regulations |
Made (20/06/2001-2256) |
|
168 (4) (b) |
Money Laundering Regulations |
Made (9/05/2001-1819) |
|
183 (2) & 188 (2) |
Consultation with Competent Authorities Regulations |
Made (12/07/2001-2509) |
|
192 (a) |
Controllers Exemption Order Controllers Exemption No.2 |
Made (19/07/2001-2638) Made (4/10/2001-3338) |
|
202 (2) |
Rights of Action Regulations |
Made (20/06/2001-2256) |
|
213 (10) & 214 (5) |
Compensation Scheme Electing Participants Regulations |
Made (9/05/2001-1783) |
|
215 (6) |
Compensation scheme and insolvency rules |
Not yet exercised |
|
224 (4) |
Compensation Scheme Electing Participants Regulations |
Made (9/05/2001-1783) |
|
235 (5) |
CIS Order CIS Amendment Order Miscellaneous Provisions |
Made (19/03/2001-1062) Made under (9/11/2001- 3650) Made (9/11/2001-3650) |
|
236 (4) |
Specify which redemption or repurchases of shares in non-EEA states are to be ignored in satisfying investment condition of an OEIC |
Not yet exercised |
|
238 (6) & (7) 238 (6) |
Promotion of CIS (Exemptions) Order Financial Promotion Amendment Order |
Made (19/03/2001-1060) Made (20/07/2001-2633) |
|
262 (1) (a) & (b) |
Open-Ended Investment Companies Regulations |
Made (27/03/2001-1228) |
|
264 (1) (a) |
CIS Constituted in Other EEA States Regulations |
Made (4/07/2001-2383) |
|
270 (1) (a)
|
Designated countries and territories for the purposes of recognising overseas authorised collective investment schemes |
Existing orders under the Financial Services Act (SIs 2015, 2148, 2149 and 2284 of 1988) have effect as orders made under section 270(1)(a) by virtue of article 67(1) of S.I. 2001/2636 |
|
284 (2) |
Prescribe the other schemes and persons who may be investigated as part of an investigation into an authorised unit trust scheme |
Not yet exercised |
|
286 (1) |
Recognition Requirements for Investment Exchanges and Clearing Houses Regulations |
Made (9/04/2001-995) |
|
286 (4) |
Prescribe contracts which are market contracts |
Not yet exercised |
|
323 |
Transfer of business done at Lloyd's |
Made (7/11/2001-3626) |
|
326 (1) |
Designated Professional Bodies Order |
Made (27/03/2001-1226) |
|
327 (6) |
Non-Exempt Activities Order Miscellaneous Provisions |
Made (27/03/2001-1227) Made (9/11/2001-3650) |
|
334 (1) & (2) 335 (1) & (4) 336 (1) & (2) 337 338 (1) & (2) |
Mutual Societies Order |
Made (18/07/2001-2617) |
|
342 (5) and 343(5) |
Communications by Auditors Regulations Communication by Actuaries |
Made (17/07/2001-2587) Consultation by N2 but implementation after N2 |
|
349 |
Disclosure of Confidential Information Regulations Disclosure of Confidential Information Amendment Regulation Disclosure of Confidential Information Amendment (No 2) Regulations |
Made (15/06/2001-2188) Made (18/10/2001-3437) Made (7/11/2001-3624) |
|
353 (1) |
Disclosure of Information by Prescribed Persons Regulations |
Made (10/05/2001-1857) |
|
355 |
Definition of Insurer |
Made (20/07/2001-2634) |
|
360 |
Insurance companies - administration |
Consultation before N2 but implementing after N2 |
|
372 (4) (c) and (9) (b) |
The Bankruptcy (Financial Services and Markets Act 2000) Scotland Rules |
Made (5/11/2001-3591) |
|
378 (1) |
Treatment of assets of insurers on winding up |
Made (23/08/2001-2968) |
|
379 (1) |
Winding up rules for insurers |
Made (9/11/01-3635) |
|
397 (9) & (10) |
Misleading Statements and Practices Order |
Made (9/11/2001-3645) |
|
402 |
Money Laundering Regulations |
Made (9/05/2001-1819) |
|
409 (1) (a) to (f) |
Gibraltar Order |
Made (11/09/2001-3084) |
|
412 (2) & (6) |
Gaming Contracts Order |
Made (12/07/2001-2510) |
|
414 (1) |
Service of Notice Regulations |
Made (10/04/2001-1420) |
|
416 416 (4)
|
Consequentials (Industrial Assurance) Order Consequentials/repeals/savings Order Dissolution of Insurance Brokers Registration Council |
Made (9/11/2001-3647) Made (9/11/2001-3649) Made (30/03/2001-1283) |
|
419 (1) |
By Way of Business Order |
Made (26/03/2001-1177) |
|
424 (2) |
Meaning of ?Policy? and ?Policyholder? Order |
Made (2/07/2001-2361) |
|
424 (3) |
Determine law applicable to insurance contracts Law Applicable to Contracts of Insurance Amendment Regulations |
Made (19/07/2001-2635) Made (1/11/2001-3542) |
|
426 & 427
|
Transitional Provisions, (Repeals and Savings) (Financial Services Compensation Scheme) Order Transitional Partly Completed Procedures Transitional - Information Requirements and Investigations Transitional - Business Transfers Transitional - Credit Unions Order Transitional - Communication by Auditors Consequential Amendments (Taxes) Order Consequential (Industrial Assurance) Order Consequential/repeals/savings Order Transitional - Interim Permissions Consequential Amendments (No.2) Order Recognition Requirements for Investment Exchanges and Clearing Houses Regulations Consequential Amendments (Confidential Information) (Bank of England) Order Consequential Amendments (Pre-commencement Modifications) Order Official Listing of Securities (Transitional Provisions) Order Consequential and Transitional Provisions (Miscellaneous) (No.2) Order Transitional Provisions and Savings (Civil Remedies, Discipline, Criminal Offences etc.) Order Scope of Permission Notices Order Transitional Provisions and Savings (Rules) Order Consequential and Transitional Provisions (Miscellaneous) Order Transitional Provisions (Ombudsman Scheme and Complaints Scheme) Order Transitional Provisions Authorised Persons etc Order Transitional Provisions Controllers Order Transitional Provisions Reviews of Pension Business Order Transitional Provisions - Dissolution of the Board of Banking Supervision EEA Passport Rights Miscellaneous Provisions |
Made (23/08/2001-2967) Made (6/11/2001-3592) Made (9/11/2001-3646) Made (8/11/01-3639) Forthcoming Made (17/07/2001-2587) Made (8/11/2001-3629) Made (9/11/2001-3647) Made (9/11/2001-3649) Made (10/10/2001-3374) Made (27/11/2001-3801) Made (9/04/2001-995) Made (8/11/2001-3648) Made (23/08/2001-2966) Made (22/08/2001-2957) Made (20/07/2001-2659) Made (20/07/2001-2657) Made (26/11/2001-3771) Made (23/04/2001-1534) Made (9/05/2001-1821) Made (27/06/2001-2326) Made (20/07/2001-2636) Made (19/07/2001-2637) Made (12/07/2001-2512) Made (5/11/2001-3582) Made (12/07/2001-2511) Made (9/11/2001-3650) |
|
431 (2) |
Commencement No 1 Order Commencement No 2 Order Commencement No 3 Order Commencement No 4 and Transitional Provisions Order Commencement No 5 Order Commencement No 6 Order Commencement No 7 Order |
Made (22/02/2001-516) Made (30/03/2001-1282) Made (9/05/2001-1820) Made (2/07/2001-2364) Made (19/07/2001-2632) Made (18/10/2001-3436) Made (31/10/2001-3538) |
|
432(2) SCH.21 |
Designated Date for Certain SROs Order Transitional Provisions - Designated Date for the SFA Order |
Made (7/04/2000-1734) Made (20/06/2001-2255) |
|
Rehabilitation of Offenders |
||
|
10 (2) of the Rehabilitation of Offenders Act 1974 |
Rehabilitation of Offenders, England and Wales The Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (No.2) Order |
Made (29/11/2001-3816) |
|
5 (4) & 8 (4) of the Rehabilitation of Offenders (Northern Ireland) Order 1978 |
The Rehabilitation of Offenders (Exceptions) (Amendment) (No.2) Order (Northern Ireland) |
Made (7/11/2001- SR2001/400) |