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Financial Services and Markets Act 2000 - Legislation.gov.uk

15-06-00 07:32:23ch0800a00aACTA Unit: pagaRA Proof Services and MarketsAct 2000 CHAPTER 8 ARRANGEMENT OF SECTIONSPartITheRegulatorSection1. The Financial Services Authority s general duties2. The Authority s general regulatory objectives3. market Public The protection of The reduction of Financial governance7. Duty of Authority to follow principles of good for consulting practitioners and consumers8. The Authority s general duty to The Practitioner The Consumer Duty to consider representations by the Right to obtain documents and Cases in which the Treasury may arrange independent Power to appoint person to hold an 07:32:23ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Section16. Powers of appointed person and Conclusion of Obstruction and general prohibition19. The general for permission20.

ch0800a00a ACTA Unit: paga15-06-00 07:32:23 RA Proof 6.6.2000 Financial Services and Markets Act 2000 CHAPTER 8 ARRANGEMENT OF SECTIONS Part I The Regulator Section 1. The Financial Services Authority.

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Transcription of Financial Services and Markets Act 2000 - Legislation.gov.uk

1 15-06-00 07:32:23ch0800a00aACTA Unit: pagaRA Proof Services and MarketsAct 2000 CHAPTER 8 ARRANGEMENT OF SECTIONSPartITheRegulatorSection1. The Financial Services Authority s general duties2. The Authority s general regulatory objectives3. market Public The protection of The reduction of Financial governance7. Duty of Authority to follow principles of good for consulting practitioners and consumers8. The Authority s general duty to The Practitioner The Consumer Duty to consider representations by the Right to obtain documents and Cases in which the Treasury may arrange independent Power to appoint person to hold an 07:32:23ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Section16. Powers of appointed person and Conclusion of Obstruction and general prohibition19. The general for permission20.

2 Authorised persons acting without promotion21. Restrictions on Financial activities22. The classes of activity and categories of Contravention of the general False claims to be authorised or Contravention of section of agreements26. Agreements made by unauthorised Agreements made through unauthorised Agreements made unenforceable by section 26 or Accepting deposits in breach of general Enforceability of agreements resulting from Authorised Partnerships and unincorporated of authorisation33. Withdrawal of authorisation by the EEA Treaty Persons authorised as a result of paragraph 1(1) of Schedule of EEA rights by UK firms37. Exercise of EEA rights by UK 07:32:23ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 ExemptionSection38. Exemption Exemption of appointed for permission40. Application for The threshold Giving Imposition of and cancellation of Part IV permission44.

3 Variation etc. at request of authorised Variation etc. on the Authority s own Variation of permission on acquisition of Exercise of power in support of overseas Prohibitions and persons49. Persons connected with an permissions50. Authority s duty to consider other permissions Applications under this Determination of Exercise of own-initiative power: Cancellation of Part IV permission: to the Tribunal55. Right to refer matters to the orders56. Prohibition Prohibition orders: procedure and right to refer to Applications relating to prohibitions: procedure and right to referto Approval for particular Applications for Determination of 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Section62. Applications for approval: procedure and right to refer Withdrawal of Conduct: statements and Statements and codes: Disciplinary Disciplinary measures: procedure and right to refer to Statement of Statements of policy: of statutory duty71.

4 Actions for competent authority72. The competent General duty of the competent official list74. The official Applications for Decision on Discontinuance and suspension of Discontinuance or suspension: particulars79. Listing particulars and other General duty of disclosure in listing Supplementary listing Exemptions from Registration of listing Publication of Application of this Part to Approval of prospectus where no application for Public censure of 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 CompensationSection90. Compensation for false or misleading Penalties for breach of listing Statement of Statements of policy: Competition Obligations of issuers of listed Appointment by competent authority of persons to carry Advertisements etc. in connection with listing Listing rules: general Exemption from liability in Interpretation of this Control of business Insurance business transfer Banking business transfer Application for order sanctioning transfer Requirements on Scheme Right to participate in Sanction of the court for business transfer Effect of order sanctioning business transfer Appointment of actuary in relation to reduction of Rights of certain transfers outside the United Kingdom115.

5 Certificates for purposes of insurance business transfers Effect of insurance business transfers authorised in other Power to modify this abuse118. market 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 The codeSection119. The Provisions included in the Authority s code by reference to theCity Codes: Effect of the to impose penalties123. Power to impose penalties in cases of market of policy124. Statement of Statement of policy: Warning Decision notices and right to refer to Suspension of Power of court to impose penalty in cases of market Effect on The Financial Services and Markets Proceedings: general assistance before the Tribunal134. Legal assistance Provisions of the legal assistance Funding of the legal assistance Appeal on a point of General rule-making Miscellaneous ancillary Restriction on managers of authorised unit trust Insurance business Insurance business: regulations supplementing Authority s Endorsement of codes 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Specific rulesSection144.

6 Price stabilising Financial promotion Money laundering Control of information or waiver148. Modification or waiver of of rules149. Evidential Actions for Limits on effect of contravening provisions152. Notification of rules to the Rule-making Verification of General supplementary Notification of guidance to the Reports by Director General of Fair Power of Director to request Consideration by Competition Role of the The Competition Act to gather information165. Authority s power to require Reports by skilled of investigators167. Appointment of persons to carry out general Appointment of persons to carry out investigations in to overseas regulators169. Investigations etc. in support of overseas 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Conduct of investigationsSection170.

7 Investigations: Powers of persons appointed under section Additional power of persons appointed as a result of section168(1) or (4).173. Powers of persons appointed as a result of section 168(2).174. Admissibility of statements made to Information and documents: supplemental Entry of premises under of control178. Obligation to notify the , increasing and reducing control179. Acquiring Increasing Reducing or increasing control: procedure182. Duty of Authority in relation to notice of Approval of acquisition of Conditions attached to Objection to acquisition of Objection to existing Notices of objection under section 187: acquired shares189. Improperly acquired control: procedure190. Offences under this Power to change definitions of control 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 PartXIIII ncomingFirms:InterventionbyAuthorityInte rpretationSection193.

8 Interpretation of this General grounds on which power of intervention is Exercise of power in support of overseas The power of of power of intervention197. Procedure on exercise of power of Power to apply to court for injunction in respect of certainoverseas insurance Additional procedure for EEA firms in certain Rescission and variation of Effect of certain requirements on other Contravention of requirement imposed under this of Director General of Fair Trading203. Power to prohibit the carrying on of Consumer Credit Power to restrict the carrying on of Consumer Credit Act Public Financial Proposal to take disciplinary Decision Statements of Statements of policy: scheme manager212. The scheme scheme213. The compensation of the scheme214. Rights of the scheme in relevant person s Continuity of long-term insurance Insurers in Financial 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Annual reportSection218.

9 Annual and documents219. Scheme manager s power to require Scheme manager s power to inspect information held byliquidator Powers of court where information Statutory Management Scheme manager s power to inspect documents held by OfficialReceiver scheme225. The scheme and the scheme Compulsory Voluntary of complaints228. Determination under the compulsory Ombudsman s power to require Powers of court where information Data Industry Collective investment Open-ended investment Other Restrictions on Single property Restriction on approval of 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 Section241. Actions for for authorisation242. Applications for authorisation of unit trust Authorisation Determination of refused245. Procedure when refusing an Trust scheme Scheme particulars Disqualification of auditor for breach of trust scheme Modification or waiver of Alteration of schemes and changes of manager or Procedure when refusing approval of change of manager clauses253.

10 Avoidance of exclusion of authorisation254. Revocation of authorisation order otherwise than by Requests for revocation of authorisation of intervention257. Applications to the Procedure on giving directions under section 257 and varyingthem on Authority s own Procedure: refusal to revoke or vary Procedure: revocation of direction and grant of request Open-ended investment Amendment of section 716 Companies Act 07:32:24ch0800a01aACTA Unit: pagaRA Proof Services and Markets Act 2000 ChapterVRecognisedOverseasSchemesSchemes constituted in other EEA StatesSection264. Schemes constituted in other EEA Representations and references to the Disapplication of Power of Authority to suspend promotion of Procedure on giving directions under section 267 and varyingthem on Authority s own Procedure on application for variation or revocation of authorised in designated countries or territories270.


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