LIST OF SECONDARY LEGISLATION UNDER THE FINANCIAL SERVICES AND MARKETS ACT 2000 (FSMA) EXPECTED TO BE REQUIRED BEFORE N2
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
21 (5) 21 (9) (a) & (b) 21 (10) |
Financial Promotion Order |
Made (2/04/2001-1335) |
21 (5) 238 (6) |
Financial Promotion Amendment Order |
Made (20/07/2001-2633) |
| 22 (1) |
Regulated Activities Order | Made (26/02/2001-0544) |
| 38 (1) |
Exemption Order | Made (26/03/2001-1201) |
| 39 (1)417 (1) | Appointed Representative Regulations | Made (28/03/2001-1217) |
| 39 (1)417 (1) (a) | Appointed Representatives (Amendment) Regulations | Made (12/7/2001-2508) |
| 326 (1) |
Designated Professional Bodies Order | Made (27/03/2001-1226) |
| 327 (6) |
Non-Exempt Activities Order | Made (27/03/2001-1227) |
| 412 (2) & (6) |
Gaming Contracts Order | Made (12/07/2001-2510) |
| 419 (1)428(3) | By Way of Business Order | Made (26/03/2001-1177) |
| INFORMATION/ASSISTANCE |
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
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47 (1) and (3) (b) & (c) |
Own-Initiative Power (Overseas Regulators) Regulations | Made (19/07/2001- 2639) |
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183 (2) 188 (2) |
Consultation with Competent Authorities Regulations | Made (12/07/2001-2509) |
| 192 (a) | Controllers Exemption Order | Made (19/07/2001- 2638) |
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342 (5) 343 (5) |
Communications by Auditors Regulations | Made (17/07/2001- 2587) |
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342 (5) 343 (5) |
Communications by Actuaries | Consultation before N2 but implementation after N2 |
| 349 (1) | Disclosure of Confidential Information Regulations | Made (15/06/2001-2188) |
| 353 (1) | Disclosure of Information by Prescribed Persons Regulations | Made (10/05/2001-1857) |
| 414 (1) | Service of Notice Regulations | Made (10/04/2001-1420) |
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Sch 19 Part II & 19 |
Competition Information (Specification of Enactment etc) Order | Made (10/05/2001-1858) |
| REDRESS |
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
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20 (3) 71 (2) & (3) 150 (3) & (5) 202 (2) |
Rights of Action Regulations | Made (20/06/2001-2256) |
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MARKET
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| FSMA SECTION NUMBER | NAME OF ORDER/SUBJECT | STATUS |
| 118 (3) | Prescribed Markets and Qualifying Investments Order | Made (15/03/2001-0996) |
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286 (1) 426 427 428 (3) |
Recognition Requirements for Investment Exchanges and Clearing Houses Regulations | Made (9/04/2001-0995) |
| 286 (4) | Prescribe contracts which are market contracts | No plans to make before or at N2 |
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LISTING REGIME
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
| 75 (3)79 (3)103 (1) (b)417 (1) ( c ) 428 (3)Sch 9-5(2)Sch 10 (d)Sch 11-16 (3) & (4) Sch11-20 (2) | Official Listing of Securities Regulations | Made (22/08/2001-2956) |
| 87 (4)Sch 11- 8 (2)Sch 11-15(9)Â Sch 11-17(1) Sch 11-17(2)Sch11-21 ( c)Sch 11-22Sch 11-23(1)Sch 11-25 | Offers of Securities Order | Made (22/08/2001-2958) |
| 2(2)European Communities Act 1972 | Public Offers of Securities (Exemptions) Regulations | Made (22/08/2001-2955) |
| 426427428 (3) | Official Listing of Securities (Transitional Provisions) Order | Made (22/08/2001-2957) |
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OFFENCES & TRIBUNAL
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
| 168 (4) (b)402 (1) (b) | Money Laundering Regulations | Made (9/05/2001-1819) |
| 397 (9) & (10) | Misleading Statements and Practices (Offences) Order | Forthcoming |
| 132 (3) | Tribunal Rules | Made (9/07/2001- 2476) |
| 134 (1) | Legal Assistance Scheme | Forthcoming |
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MUTUALS
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
| 334 (1) & (2)335 (1) – (4)336 (1) & (2)337 338 (1) & (2) | Mutual Societies Order | Made (18/07/2001- 2617) |
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PASSPORTED INSTITUTIONS
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
| 213 (10)214 (5)224 (4) | Compensation Scheme Electing Participant Regulations | Made (9/05/2001-1783) |
| 409 (1) (a) to (f) | Gibraltar Order | Forthcoming |
| Sch 3 ss 13 (1) (b) (iii)ss 14 (1) (b)ss 17ss 18ss 22 (1), (2) & 3 (a) | EEA Passport Rights Regulations | Made (4/04/2001-1376) |
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OTHER
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| FSMA SECTION NUMBER | DESCRIPTION | STATUS |
| 416 (4)428 (3) | Dissolution of Insurance Brokers Registration Council | Made (30/03/2001-1283) |
| 426 (1) | Orders for Incidental, consequential, transitional supplemental provisions | Forthcoming |
| 428Sch 21 | Designated Date for Certain SROs Order | Made (7/04/2000-1734) |
| 428 (3)Sch 21 | Transitional Provisions - Designated Date for the SFA Order | Made (20/06/2001-2255) |
| 426 & 427 | Consequential Amendments (Confidential Information) (Bank of England) Order | Forthcoming |
| 426 & 427 | Consequential Amendments (Pre-Commencement Modifications) Order | Made (23/08/2001-2966) |
| 416426 | Consequentials (Industrial Assurance) Order | Forthcoming |
| 416426 | Consequentials/repeals/savings Order | Forthcoming |
| 426 | Consequential Amendments (Taxes) Order | Forthcoming |