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[ARCHIVED CONTENT] Secondary legislation ordered by subject

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LIST OF SECONDARY LEGISLATION UNDER THE FINANCIAL SERVICES AND MARKETS ACT 2000 (FSMA) EXPECTED TO BE REQUIRED BEFORE N2

SCOPE

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

FSMA SECTION NUMBER

DESCRIPTION

STATUS

47 (1) and (3)

(b) & (c)

Own-Initiative Power (Overseas Regulators) Regulations

Made (19/07/2001- 2639)

183 (2)

188 (2)

Consultation with Competent Authorities Regulations

Made (12/07/2001-2509)

192 (a)

Controllers Exemption Order

Made (19/07/2001- 2638)

342 (5)

343 (5)

Communications by Auditors Regulations

Made (17/07/2001- 2587)

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)

Sch 19

Part II & 19

Competition Information (Specification of Enactment etc) Order

Made (10/05/2001-1858)

REDRESS

FSMA SECTION NUMBER

DESCRIPTION

STATUS

20 (3)

71 (2) & (3)

150 (3) & (5)

202 (2)

Rights of Action Regulations

Made (20/06/2001-2256)

MARKET

FSMA SECTION NUMBER

NAME OF ORDER/SUBJECT

STATUS

118 (3)

Prescribed Markets and Qualifying Investments Order

Made (15/03/2001-0996)

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

LISTING REGIME

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) 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)

OFFENCES & TRIBUNAL

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

MUTUALS

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)

PASSPORTED INSTITUTIONS

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)

OTHER
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

Financial Services and Markets Act index