| Guvnor

Made under: Financial Services and Markets Act 2000
Enforced by: PRA
Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Any Person5 Financial Services Firm2 Trader1 Director or Officer1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2340 other Acts

Human Medicines Regulations 2012 184 duties

Merchant Shipping Act 1995 144 duties

Insolvency (England and Wales) Rules 2016 104 duties

Communications Act 2003 92 duties

Road Traffic Act 1988 92 duties

Financial Services Firm — also bound by 167 other Acts

Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance) 63 duties

Friendly Societies Act 1992 52 duties

Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance) 52 duties

The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001 50 duties

The Credit Unions (Northern Ireland) Order 1985 43 duties

Trader — also bound by 825 other Acts

Value Added Tax Regulations 1995 416 duties

Companies Act 2006 243 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 133 duties

Companies Act 1985 85 duties

Insolvency (England and Wales) Rules 2016 62 duties

Director or Officer — also bound by 429 other Acts

Insolvency (England and Wales) Rules 2016 162 duties

Companies Act 2006 126 duties

Insolvency Act 1986 77 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 68 duties

Building Societies Act 1986 32 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

s.004 Investment firms: changes to branch details Regulated

Notify your home state regulator before changing branch details or using tied agentsFinancial Services Firm

s.005 Management companies: changes to services Regulated

Notify regulators before changing services covered by EEA passport rightsTrader

s.005 Investment firms: changes to services Regulated

Notify home state regulator before changing services or tied agentsFinancial Services Firm

s.011 UK ... management companies, credit institutions and financial institutions: changes to branch details Regulated

Notify regulators before changing your EEA branch detailsAny Person

s.012 UK ... management companies: changes to services Regulated

Notify PRA and host regulator before changing your servicesAny Person

s.013 UK insurance firms: changes to relevant EEA details of branches Regulated

Notify the PRA and host regulator before changing branch detailsAny Person

s.015 UK insurance firms: changes to relevant UK details of branches Regulated

Notify PRA of branch details changes at least one month in advanceAny Person

s.016 UK insurance firms: changes to services Regulated

Notify the PRA before changing your cross-border insurance servicesDirector or Officer

s.017 UK firm exercising an EEA right under the insurance distribution directive: changes to branch details or services Regulated

Notify PRA of material changes to insurance distribution branch or servicesAny Person

28 other provisions — procedural and definitional

s.001 Citation, commencement and interpretation

s.002 Establishment of a branch: contents of consent notice

s.002 Prescribed cases: establishment

s.003 Provision of services: contents of regulator’s notice

s.003 Notice of qualification for authorisation

s.004 Management companies, credit institutions and financial institutions: changes to branch details

s.006 Insurance firms: changes to branch details

s.007 Insurance firms: changes to services

s.007 EEA AIFM: changes to branch details or services

s.007 EEA mortgage intermediary: changes to branch details or services

s.007 Insurance intermediary: changes to branch details or services

s.008 EEA firms ceasing to carry on regulated activities in the United Kingdom

s.009 Financial institutions giving up right to authorisation

s.009 EEA mortgage intermediaries giving up right to authorisation

s.010 Applications for approval under section 60 by EEA firms

s.010 Meaning of “the appropriate UK regulator”

s.011 UK investment firms: changes to branch details

s.012 UK investment firms: changes to services

s.014 Relevant EEA details for the purposes of regulation 13

s.017 Relevant details for the purposes of regulation 16

s.017 Full-scope UK AIFM: changes to branch details or services

s.017 UK firm exercising an EEA right under the mortgages directive: changes to branch details or services

s.017 Relevant details for the purpose of regulation 17C

s.018 Offences relating to failure to notify changes

s.019 UK firms: scope of outward passport

s.019 Notice of qualification for authorisation

s.020 Changes relating to EEA firms: procedures partly completed at commencement

s.021 Changes relating to UK firms: procedures partly completed at commencement

Connected legislation

The wider family of instruments made under the same parent Act.

Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 SI 2018

The Alternative Investment Fund Managers (Amendment) Regulations 2013 SI 2013/1797

The Bankruptcy (Financial Services and Markets Act 2000) Rules 2001 and the Insurers (Winding Up) Rules 2001 (Amendment) Rules 2019 SI 2019/754

The Central Counterparties (Amendment, , and Transitional Provision) (EU Exit) Regulations 2018 SI 2018/1184

The Central Securities Depositories (Amendment) (EU Exit) Regulations 2018 SI 2018/1320

The Collective Investment Schemes (Amendment ) (EU Exit) Regulations 2019 SI 2019/325

TCGA 1992 SI 2017/1204

The Credit Rating Agencies (Amendment ) (EU Exit) Regulations 2019 SI 2019/266

The Electronic Commerce and Solvency 2 (Amendment ) (EU Exit) Regulations 2019 SI 2019/1361

The Financial Holding Companies (Approval ) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 SI 2020/1406

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) (Amendment) Order 2003 SI 2003/2134

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) (Northern Ireland) Order 2005 SI 2005/1644

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers)(Northern Ireland) Order 2007 SI 2007/846

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2002 SI 2002/1242

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010 SI 2010/3023

The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 SI 2019/632

The Financial Services and Markets Act 2000 (Amendments to Part 7) Regulations 2008 SI 2008/1468

The Financial Services and Markets Act 2000 and the Financial Services (Banking Reform) Act 2013 (Disclosure of Confidential Information) (Amendment) Regulations 2017 SI 2017/456

The Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2001 SI 2001/2508

The Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2004 SI 2004/453

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.

The Financial Services and Markets Act 2000 ( EEA Passport Rights) Regulations 2001

Does it bind you?

Other Acts binding the same actors

What it requires

Connected legislation