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FSMA SECTION NUMBER
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DESCRIPTION
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STATUS
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20 (3)
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Rights of Action Regulations
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Made (20/06/2001-2256)
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21
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Financial Promotion Order
Financial Promotion Amendment Order
Financial Promotion Amendment No.2 Order
Miscellaneous Provisions
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Made (2/04/2001-1335)
Made (20/07/2001-2633)
Made (28/11/01- 3800)
Made (9/11/2001-3650)
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22 and SCH.2
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Regulated Activities Order
Regulated Activities Amendment
Miscellaneous Provisions
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Made (1/11/2001-544)
Made (1/11/2001-3544)
Made (9/11/2001-3650)
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31 (1)(b) & 37
SCH.3
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EEA Passport Rights
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Made (12/07/2001-2511)
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38 (1)
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Exemption Order
Exemption Amendment Order
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Made (26/03/2001-1201)
Made (7/11/2001-3623)
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39 (1)
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Appointed Representatives Regulations
Appointed Representatives (Amendment) Regulations
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Made (28/03/2001-1217)
Made (12/7/2001-2508)
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41
SCH.6
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Variation of Threshold Conditions Order
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Made (12/07/2001-2507)
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47 (1) & (3) (b) & (c)
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Own-Initiative Power (Overseas Regulators) Regulations
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Made (19/7/2001-2639)
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71 (2) & (3)
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Rights of Action Regulations
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Made (20/06/2001-2256)
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75 (3)
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Official Listing of Securities Regulations
Official Listing of Securities Amendment Regulations
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Made (22/08/2001-2956)
Made (18/10/2001-3439)
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79 (3)
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Official Listing of Securities Regulations
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Made (22/08/2001-2956)
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87 (4)
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Offers of Securities Order
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Made (22/08/2001-2958)
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87(5)
SCH.9
& 103 (1)
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Official Listing of Securities Regulations
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Made (22/08/2001-2956)
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103 (6)
SCH.11
SCH.11-16 (3) & (4) &
SCH 11-20 (2)
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Offers of Securities Order
Official Listing of Securities Regulations
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Made (22/08/2001-2958)
Made (22/08/2001-2956)
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108 (1)
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Control of Business Transfers (Requirements on Applicants)
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Made (7/11/2001-3625)
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117 (a) & (b)
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Powers to make exemptions from Part VII
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Not yet exercised
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118 (3)
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Prescribed Markets and Qualifying Investments Order
Prescribed Markets and Qualifying Investments (Amendment) Order
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Made (15/03/2001-996)
Made (13/11/2001-3681)
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132 (3)
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Tribunal Rules
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Made (9/07/2001 - 2476)
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134 & 135
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The Financial Services and Markets Tribunal (Legal Assistance) Regulations
The Financial Services and Markets Tribunal (Legal Assistance Scheme Costs) Regulations
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Made (8/11/2001-3632)
Made (8/11/2001-3633)
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142 (1)
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Supplement Asset Identification rules for parents of insurance companies
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Not yet exercised
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142 (4)
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Make mortgages or charges created in breach of asset identification rules void
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Not yet exercised
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150 (3) & (5)
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Rights of Action Regulations
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Made (20/06/2001-2256)
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168 (4) (b)
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Money Laundering Regulations
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Made (9/05/2001-1819)
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183 (2) & 188 (2)
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Consultation with Competent Authorities Regulations
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Made (12/07/2001-2509)
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192 (a)
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Controllers Exemption Order
Controllers Exemption No.2
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Made (19/07/2001-2638)
Made (4/10/2001-3338)
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202 (2)
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Rights of Action Regulations
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Made (20/06/2001-2256)
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213 (10) & 214 (5)
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Compensation Scheme Electing Participants Regulations
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Made (9/05/2001-1783)
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215 (6)
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Compensation scheme and insolvency rules
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Not yet exercised
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224 (4)
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Compensation Scheme Electing Participants Regulations
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Made (9/05/2001-1783)
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235 (5)
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CIS Order
CIS Amendment Order
Miscellaneous Provisions
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Made (19/03/2001-1062)
Made under (9/11/2001- 3650)
Made (9/11/2001-3650)
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236 (4)
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Specify which redemption or repurchases of shares in non-EEA states are to be ignored in satisfying investment condition of an OEIC
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Not yet exercised
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238 (6) & (7)
238 (6)
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Promotion of CIS (Exemptions) Order
Financial Promotion Amendment Order
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Made (19/03/2001-1060)
Made (20/07/2001-2633)
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262 (1) (a) & (b)
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Open-Ended Investment Companies Regulations
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Made (27/03/2001-1228)
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264 (1) (a)
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CIS Constituted in Other EEA States Regulations
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Made (4/07/2001-2383)
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270 (1) (a)
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Designated countries and territories for the purposes of recognising overseas authorised collective investment schemes
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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
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284 (2)
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Prescribe the other schemes and persons who may be investigated as part of an investigation into an authorised unit trust scheme
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Not yet exercised
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286 (1)
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Recognition Requirements for Investment Exchanges and Clearing Houses Regulations
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Made (9/04/2001-995)
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286 (4)
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Prescribe contracts which are market contracts
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Not yet exercised
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323
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Transfer of business done at Lloyd's
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Made (7/11/2001-3626)
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326 (1)
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Designated Professional Bodies Order
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Made (27/03/2001-1226)
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327 (6)
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Non-Exempt Activities Order
Miscellaneous Provisions
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Made (27/03/2001-1227)
Made (9/11/2001-3650)
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334 (1) & (2)
335 (1) & (4)
336 (1) & (2)
337
338 (1) & (2)
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Mutual Societies Order
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Made (18/07/2001-2617)
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342 (5) and 343(5)
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Communications by Auditors Regulations
Communication by Actuaries
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Made (17/07/2001-2587)
Consultation by N2 but implementation after N2
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349
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Disclosure of Confidential Information Regulations
Disclosure of Confidential Information Amendment Regulation
Disclosure of Confidential Information Amendment (No 2) Regulations
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Made (15/06/2001-2188)
Made (18/10/2001-3437)
Made (7/11/2001-3624)
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353 (1)
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Disclosure of Information by Prescribed Persons Regulations
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Made (10/05/2001-1857)
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355
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Definition of Insurer
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Made (20/07/2001-2634)
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360
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Insurance companies - administration
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Consultation before N2 but implementing after N2
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372 (4) (c) and (9) (b)
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The Bankruptcy (Financial Services and Markets Act 2000) Scotland Rules
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Made (5/11/2001-3591)
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378 (1)
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Treatment of assets of insurers on winding up
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Made (23/08/2001-2968)
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379 (1)
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Winding up rules for insurers
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Made (9/11/01-3635)
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397 (9) & (10)
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Misleading Statements and Practices Order
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Made (9/11/2001-3645)
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402
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Money Laundering Regulations
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Made (9/05/2001-1819)
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409 (1) (a) to (f)
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Gibraltar Order
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Made (11/09/2001-3084)
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412 (2) & (6)
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Gaming Contracts Order
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Made (12/07/2001-2510)
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414 (1)
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Service of Notice Regulations
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Made (10/04/2001-1420)
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416
416 (4)
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Consequentials (Industrial Assurance) Order
Consequentials/repeals/savings Order
Dissolution of Insurance Brokers Registration Council
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Made (9/11/2001-3647)
Made (9/11/2001-3649)
Made (30/03/2001-1283)
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419 (1)
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By Way of Business Order
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Made (26/03/2001-1177)
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424 (2)
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Meaning of ?Policy? and ?Policyholder? Order
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Made (2/07/2001-2361)
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424 (3)
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Determine law applicable to insurance contracts
Law Applicable to Contracts of Insurance Amendment Regulations
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Made (19/07/2001-2635)
Made (1/11/2001-3542)
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426 & 427
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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
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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)
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431 (2)
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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
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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)
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432(2)
SCH.21
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Designated Date for Certain SROs Order
Transitional Provisions - Designated Date for the SFA Order
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Made (7/04/2000-1734)
Made (20/06/2001-2255)
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Rehabilitation of Offenders
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10 (2) of the Rehabilitation of Offenders Act 1974
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Rehabilitation of Offenders, England and Wales
The Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (No.2) Order
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Made (29/11/2001-3816)
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5 (4) & 8 (4) of the Rehabilitation of Offenders (Northern Ireland) Order 1978
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The Rehabilitation of Offenders (Exceptions) (Amendment) (No.2) Order (Northern Ireland)
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Made (7/11/2001- SR2001/400)
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