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)
Financial Services and Markets Act index