UK Statutory Instrument 2001 United Kingdom

Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001

View on legislation.gov.uk Ask Guv about this Act

At a glance

Enforced by

FCA, PRA

What's here

1 practical guide · 2 journeys

Step-by-step journeys using this legislation

Walkthroughs that take you from a real business situation to compliance.

Get FCA authorised: from perimeter check to Connect submission

1 step

Quick perimeter check: do I need FCA authorisation?

1 step

Relevant guidance

Practical guides for businesses affected by this Act, ordered by how closely they engage with it.

Supporting — topic alignment

1 guides

Appointed representative or direct FCA authorisation: choosing your route

What this Act requires

Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.

Browse 5 other sections — procedural / definitional / commencement

s.001

Citation, commencement and interpretation

s.002

Descriptions of business for which appointed representatives are exempt

s.003

Requirements applying to contracts between authorised persons and appointed representatives

s.004

Transitional provision in relation to contracts

s.005

Credit related activities: prescribed businesses etc.

Official guidance

Authoritative sources published by regulators or government explaining this legislation.

FCA: Appointed representatives (opens in a new tab) from FCA Detailed Guidance
Authorisation | FCA (opens in a new tab) from FCA Other

Enforcement and responsible bodies

The regulators that administer or enforce this legislation.

FCA

Primary

Financial Conduct Authority

Regulation of financial services firms and markets. Supervises banks, insurers, investment firms, payment services, and cryptoasset businesses. Issues authorisations and enforces conduct …

PRA

Prudential Regulation Authority

Part of the Bank of England. Prudentially regulates and supervises around 1,292 banks, building societies, credit unions, insurers, and major investment firms. …