Subject Index for the Financial Services and Markets Act 2000 Statutory Instruments

07 March 2002

Please note that references in this index are not exhaustive. It does not include references to those SIs whose purpose is obvious from their title, nor to the main scope orders (the Regulated Activities Order and Financial Promotion Order).

Business transfers

2001/3538 (partial commencement of s. 104)
2001/3625 (requirements on applicants)
2001/3626 (transfers of Lloyd's business)
2001/3639 (transitionals)

Collective investment schemes

2001/1060 (promotions: exemptions), amended by 2001/3650, art 2
2001/1062 (exclusions)
2001/1228 (OEICs)
2001/2383 (schemes in other EEA States)
2001/3592 (transitionals: partly completed procedures - Part IV)

Compensation scheme

2001/1783 (electing participants)
2001/2957 (transitionals)

Consumers

2001/1821 (transitional modification of definition)

Controllers

2001/2637 (transitionals), amended by 2001/3650, arts 11 and 12
2001/2638 (exemption for friendly socs)
2001/3338 (exemption for building society PIBs)

Disclosure of information

2001/1857 (disclosure by prescribed bodies)
2001/2659 (transitional - art 7)
2001/2188 (main gateways regs)
2001/3437 (gateways amendment - inquiries)
2001/3624 (gateways amendment - listing particulars directive; Nat Lottery Comm; investment exchanges)
2001/3648 (Bank of England)

FSA constitution

2001/1821 (constitutional transitionals)
2001/3650 (reports under old statutes; transfers from SROs; liability; fees; insurance contracting-out order - arts 19 et seq)
2001/3729 (seal: Friendly Socs Act)

IBRC

2001/1282 (commencement order abolishing)
2001/1283 (consequential provisions)

Industrial assurance

2001/3647 (consequentials & savings)
2001/3677 (Channel Is)

Information gathering

2001/3083 (transitionals)
2001/2659 (ditto - art 2)
2001/3646 (main transitional order)

Insurance

2001/2361 (meaning of 'policy' etc)
2001/2635 (applicable law), amended by 2001/3542
2001/2636 (grandfathering)
2001/2968 (treatment of assets on winding up)
2001/3635 (insurers winding up rules)
2001/3650 (transitionals: Insurance Companies Act fees, Contracting Out Order etc - arts 26-8)

Investment exchanges

2001/995 (recognition requirements)
2001/996 (prescribed markets & qualifying investments), amended by 2001/3681 (OFEX)

Listing

2001/2956 (Official Listing Regs)
2001/2957 (transitionals)
2001/1958 (public offers)
2001/3439 (Official Listing amendment)

Mutuals

2001/1201 (Exemption Order - transitional exemption for credit unions - art 6), amended by 2001/3623
2001/2617 (main Mutuals Order)
2001/2636 (grandfathering)
2001/2638 (controllers - exemption for friendly societies)
2001/3083 (saving for ss 43A and 43B of the Building Societies Act - art 11)
2001/3338 (controllers - exemption for building society PIBS)
2001/3592 (transitionals: partly completed procedures - Part III)

Passporting

2001/1376 (amendments to Sch 3 to FSMA)
2001/2509 (consultation with other comp auths)
2001/2511 (Sch 3 Passport Rights Regs)
2001/2636 (grandfathering)
2001/2639 (own-initiative power - overseas regulators)
2001/3084 (Gibraltar)
2001/3592 (transitionals: partly completed procedures - Part VIII)

Professions

2001/1226 (designated professional bodies)
2001/1227 (non-exempt activities), amended by 2001/3650, art 3 (mortgages)
2001/2659 (info from recognised professional bodies - art 4)

Rehabilitation of offenders

20012659 (transitional modification of Banking Act and FS Act - arts 5 & 6)
2001/3640 (Scotland)
2001/3650 (transitional - art 16)

Rules

2001/1534 (rules transitionals)

Tribunal

2001/2364 (transitional saving for refs to old tribunals)
2001/2364 (ditto)
2001/2476 (FSMAT rules)
2001/3592 (transitionals: partly completed procedures - Part IX)
2001/3632 (legal assistance)
2001/3633 (legal assistance - costs)
2001/3650 (transitional saving for members of old tribunals)

Financial Services and Markets Act index