FINANCIAL SERVICES AND MARKETS ACT 2000: N2
Bulletin number 19 from HM Treasury
This is the nineteenth and final bulletin before N2 on 1 December on implementation of the Financial Services and Markets Act.
All bar one of the statutory instruments required to implement the Act are now in place. We understand that the Home Office will make the Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (No 2) Order 2001 tomorrow. We will then have made 96 pieces of secondary legislation since Royal Assent and issued over 1,500 pages of material for consultation. A list of all the secondary legislation made under the Act is attached. The legislation is also in the Statutory Instruments section of this site.
We have enjoyed implementation. Getting the regulation of financial services right is important work. We have been grateful for all the assistance and comments we have received from our legal advisers, from industry, professional and consumer groups, and from the FSA. We are conscious that while N2 marks an end for the implementation team it is a beginning for most recipients of this bulletin. We hope that all benefit from the new regulatory framework.
We plan to retain the bulletin for post-N2 announcements on FSMA issues. If your details change, or you wish to receive the bulletin in future by e-mail, please let Deirdre Barrie know at the address below.
Financial Services Regulation Team
HM Treasury
2nd Floor
Allington Towers
19 Allington Street
London
SW1E 5EB
Telephone: 020 7270 1634
e-mail: deirdre.barrie@hm-treasury.gov.uk
The evening of Friday 30 November would not be a good time to contact her or any other member of the implementation team!
FSMA Implementation Team
HM Treasury
29 November 2001
Secondary legislation made under the Financial Services and Markets Act 2000
1. SI 2001 No 3801: The Financial Services and Markets Act 2000 (Consequential Amendments) (No2) Order 2001
2. SI 2001 No 3800: The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment No 2) Order 2001
3. SI 2001 No 3771: The Financial Services and Markets Act 2000 (Scope of Permission Notices) Order 2001
4. SI 2001 No 3729: The Friendly Societies Act 1974 (Seal of the Financial Services Authority) Regulations 2001
5. SI 2001 No 3681: (Prescribed Markets & Qualifying Investments) (Amendment) Order 2001
6. SR NI No 400: The Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (No 2) Order (Northern Ireland) 2001
7. SI 2001 No 3650: The Financial Services and Markets Act 2000 (Miscellaneous Provisions) Order 2001
8. SI 2001 No 3649: The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001
9. SI 2001 No 3648: The Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001
10. SI 2001 No 3647: The Financial Services and Markets Act 2000 (Consequential Amendments and Savings) (Industrial Assurance) Order 2001
11. SI 2001 No 3646: The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Information Requirements and Investigations) Order 2001
12. SI 2001 No 3645: The Financial Services and Markets Act 2000 (Misleading Statements and Practices) Order 2001
13. SI 2001 No 3640: The Financial Services and Markets Act 2000 (Savings, Modifications and Consequential Provisions) (Rehabilitation of Offenders) (Scotland) Order 2001
14. SI 2001 No 3639: The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Business Transfers) Order 2001
15. SI 2001 No 3635: The Insurers (Winding Up) Rules 2001
16. SI 2001 No 3634: The Bankruptcy (Financial Services and Markets Act 2000) Rules 2001
17. SI 2001 No 3632: The Financial Services and Markets Tribunal (Legal Assistance) Regulations 2001
18. SI 2001 No 3629: The Financial Services and Markets Act 2000 (Consequential Amendments) (Taxes) Order 2001
19. SI 2001 No 3626: The Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) Order 2001
20. SI 2001 No 3625: The Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001
21. SI 2001 No 3624: The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No 2) Regulations 2001
22. SI 2001 No 3623: The Financial Services and Markets Act 2000 (Exemption) (Amendment) Order 2001
23. SI 2001 No 3633: The Financial Services and Markets Tribunal (Legal Assistance Scheme - Costs) Regulations 2001
24. SI 2001 No 3592: The Financial Services and Markets Act 2000 (Transitional Provisions) (Partly Completed Procedures) Order 2001
25. SI 2001 No 3591: The Bankruptcy (Financial Services and Markets Act 2000) (Scotland) Rules 2001
26. SI 2001 No 3582: The Financial Services and Markets Act 2000 (Dissolution of the Board of Banking Supervision) (Transitional Provisions) Order 2001
27. SI 2001 No 3544: The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2001
28. SI 2001 No 3542: The Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) (Amendment) Regulations 2001
29. SI 2001 No 3538: The Financial Services and Markets Act 2000 (Commencement No 7) Order 2001
30. SI 2001 No 3439: The Financial Services and Markets Act 2000 (Official Listing of Securities) (Amendment) Regulations 2001
31. SI 2001 No 3437: The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2001
32. SI 2001 No 3436: The Financial Services and Markets Act 2000 (Commencement No 6) Order 2001
33. SI 2001 No 3374: The Financial Services and Markets Act 2000 (Interim Permissions) Order 2001
34. SI 2001 No 3338: The Financial Services and Markets Act 2000 (Controllers) (Exemption) (No 2) Order 2001
35. SI 2001 No 3084: The Financial Services and Markets Act 2000 (Gibraltar) Order 2001
36. SI 2001 No 3083: The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences etc) (No 2) Order 2001
37. SI 2001 No 2968: The Financial Services and Markets Act 2000 (Treatment of Assets of Insurers on Winding Up) Regulations 2001
38. SI 2001 No 2967: The Financial Services and Markets Act 2000 (Transitional Provisions, Repeals and Savings) (Financial Services Compensation Scheme) Order 2001
39. SI 2001 No 2966: The Financial Services and Markets Act 2000 (Consequential Amendments) (Pre-Commencement Modifications) Order 2001
40. SI 2001 No 2958: The Financial Services and Markets Act 2000 (Offers of Securities) Order 2001
41. SI 2001 No 2957: The Financial Services and Markets Act 2000 (Official Listing of Securities) (Transitional Provisions) Order 2001)
42. SI 2001 No 2956: The Financial Services and Markets Act 2000 (Official Listing of Securities) Regulations 2001
43. SI 2001 No 2955: The Public Offers of Securities (Exemption) Regulations 2001
44. SI 2001 No 2659: The Financial Services and Markets Act 2000 (Consequential and Transitional Provisions) (Miscellaneous) (No 2) Order 2001
45. SI 2001 No 2657: The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Civil Remedies, Discipline, Criminal Offences, etc) Order 2001
46. SI 2001 No 2639: The Financial Services and Markets Act 2000 (Own-initiative Power) (Overseas Regulators) Regulations 2001
47. SI 2001 No 2638: The Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2001
48. SI 2001 No 2637: The Financial Services and Markets Act 2000 (Transitional Provisions) (Controllers) Order 2001
49. SI 2001 No 2636: The Financial Services and Markets Act 2000 (Transitional Provisions) (Authorised Persons etc) Order 2001
50. SI 2001 No 2635: The Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2001
51. SI 2001 No 2634: The Financial Services and Markets Act 2000 (Insolvency) (Definition of "Insurer") Order 2001
52. SI 2001 No 2633: The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2001
53. SI 2001 No 2632: The Financial Services and Markets Act 2000 (Commencement No 5) Order 2001
54. SI 2001 No 2617: The Financial Services and Markets Act 2000 (Mutual Societies) Order 2001
55. SI 2001 No 2587: The Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001
56. SI 2001 No 2512: The Financial Services and Markets Act 2000 (Transitional Provisions) (Reviews of Pensions Business) Order 2001
57. SI 2001 No 2511: The Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
58. SI 2001 No 2510: The Financial Services and Markets Act 2000 (Gaming Contracts) Order 2001
59. SI 2001 No 2509: The Financial Services and Markets Act 2000 (Consultation with Competent Authorities) Regulations 2001
60. SI 2001 No 2508: The Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2001
61. SI 2001 No 2507: The Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001
62. SI 2001 No 2476: The Financial Services and Markets Tribunal Rules 2001
63. SI 2001 No 2383: The Financial Services and Markets Act 2000 (Collective Investment Schemes Constituted in Other EEA States) Regulations 2001
64. SI 2001 No 2364: The Financial Services and Markets Act 2000 (Commencement No 4 and Transitional Provision) Order 2001
65. SI 2001 No 2361: The Financial Services and Markets Act 2000 (Meaning of "Policy" and "Policyholder") Order 2001
66. SI 2001 No 2326: The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001
67. SI 2001 No 2256: The Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001
68. SI 2001 No 2255: The Financial Services and Markets Act 2000 (Transitional Provisions) (Designated Date for The Securities and Futures Authority) Order 2001.
69. SI 2001 No 2188: The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001.
70. SI 2001 No 1858: The Financial Services and Markets Act 2000 (Competition Information) (Specification of Enactment etc) Order 2001.
71. SI 2001 No 1857: The Financial Services and Markets Act 2000 (Disclosure of Information by Prescribed Persons) Regulations 2001.
72. SI 2001 No 1821: The Financial Services and Markets Act 2000 (Consequential and Transitional Provisions) (Miscellaneous) Order 2001.
73. SI 2001 No 1820: The Financial Services and Markets Act 2000 (Commencement No 3) Order 2001.
74. SI 2001 No 1819: The Financial Services and Markets Act 2000 (Regulations Relating to Money Laundering) Regulations 2001.
75. SI 2001 No 1783: The Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001.
76. SI 2001 No 1534: The Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Rules) Order 2001.
77. SI 2001 No 1420: The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001.
78. SI 2001 No 1376: The Financial Services (EEA Passport Rights) Regulations 2001.
79. SI 2001 No 1335: The Financial Services and Markets Act 2000 (Financial Promotions) Order 2001.
80. SI 2001 No 1283: The Financial Services and Markets Act 2000 (Dissolution of the Insurance Brokers Registration Council) (Consequential Provisions) Order 2001.
81. SI 2001 No 1282: The Financial Services and Markets Act 2000 (Commencement No 2) Order 2001.
82. SI 2001 No 1228: The Open-Ended Investment Companies Regulations 2001.
83. SI 2001 No 1227: The Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001.
84. SI 2001 No 1226: The Financial Services and Markets Act 2000 (Designated Professional Bodies) Order 2001.
85. SI 2001 No 1217: The Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001.
86. SI 2001 No 1201: The Financial Services and Markets Act 2000 (Exemption) Order 2001.
87. SI 2001 No 1177: The Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001.
88. SI 2001 No 1062: The Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001.
89. SI 2001 No 1060: The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001.
90. SI 2001 No 996: The Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001.
91. SI 2001 No 995: The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001.
92. SI 2001 No 544: The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001.
93. SI 2001 No 516: The Financial Services and Markets Act 2000 (Commencement Order No 1) Order 2001.
94. SI 2000 No 2952: The Banking Consolidation Directive (Consequential Amendments) Regulations 2000
95. SI 2000 No 1734: The Financial Services and Markets (Transitional Provisions) (Designated Date for Certain Self-Regulating Organisations) Order 2000.
HM Treasury
29 November 2001