UK Statutory Instrument SI 2001/2636 United Kingdom

The Financial Services and Markets Act 2000 (Transitional Provisions) (Authorised Persons etc. ) Order 2001

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Enforced by
PRA
Status
In Force

What it defines

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.

80 other provisions — procedural and definitional
s.art001 Citation and commencement
s.art002 Definitions
s.art003 Authorisation under section 25 of the Financial Services Act
s.art004 Authorisation under section 7 of the Financial Services Act
s.art005 Persons certified by designated professional bodies
s.art006 Listed institutions
s.art007 Lloyd’s underwriting agents
s.art008 Lloyd’s members' advisers
s.art009 Appointed representatives
s.art010 Investment business carried on overseas before commencement
s.art011 Persons authorised under the Banking Act
s.art012 Banking business carried on overseas before commencement
s.art013 Permission to carry on non-banking listed activities
s.art014 Companies authorised under the Insurance Companies Act
s.art015 EC companies carrying on reinsurance business
s.art016 EC companies carrying on investment business
s.art017 Insurance business carried on overseas before commencement
s.art018 Friendly societies authorised under the Friendly Societies Act
s.art019 Friendly societies: other permissions
s.art020 Societies registered under the Friendly Societies Act 1974
s.art021 Insurance business carried on overseas by friendly societies before commencement
s.art022 Building societies authorised under the Building Societies Act
s.art023 Banking business carried on overseas by building societies before commencement
s.art024 Persons with more than one old authorisation etc.
s.art025 EEA firms with “passports” under the 2BCD or ISD Regulations
s.art026 EC companies carrying on direct insurance through UK branch
s.art027 EC companies providing insurance in UK
s.art028 Treaty firms authorised under section 31 of the Financial Services Act
s.art029 Certificates under section 31(4) of the Financial Services Act
s.art030 EC companies carrying on reinsurance business through UK branch
s.art031 EC companies carrying on investment business as Treaty firms
s.art032 Status for purposes of Part XIII of the Act
s.art033 Old transitional provision
s.art034 Prohibitions and requirements under sections 65 to 68 of the Financial Services Act
s.art035 Prohibitions and requirements imposed by recognised self-regulating organisations or recognised professional bodies
s.art036 Supplemental provision relating to requirements under section 67 of the Financial Services Act etc.
s.art037 Requirements imposed under the Financial Services Act by virtue of the 2BCD or ISD Regulations as a matter of urgency
s.art038 Restrictions under section 12 of the Banking Act
s.art039 Directions under section 19 of the Banking Act
s.art040 Directions under sections 11 and 12A of the Insurance Companies Act
s.art041 Requirements under sections 38, 39, 40, 41, 43 and 45 of the Insurance Companies Act
s.art042 Order of the court under section 40A of the Insurance Companies Act
s.art043 Requirements imposed on former Lloyd’s underwriting members
s.art044 Requirements and directions under Schedule 2F to the Insurance Companies Act
s.art045 Conditions imposed under the Friendly Societies Act
s.art046 Direction under section 40 of the Friendly Societies Act
s.art047 Direction under section 51 of the Friendly Societies Act
s.art048 Order of the court under section 52A of the Friendly Societies Act
s.art049 Direction under section 53 of the Friendly Societies Act
s.art050 Conditions and directions imposed under the Building Societies Act
s.art051 Direction under section 43A of the Building Societies Act
s.art052 Prohibitions and restrictions under regulations 9, 10 and 15 of the 2BCD Regulations and regulation 9 of the ISD Regulations
s.art053 Prohibitions and restrictions under regulations 18 and 19 of the 2BCD Regulations and regulations 15 and 16 of the ISD Regulations
s.art054 Supplemental
s.art055 Notice of scope of permission
s.art056 Responding to the scope of permission notice
s.art057 Scope of permission where person agrees with notice
s.art058 Final view notices
s.art059 Scope of permission following final view notice
s.art060 Scope of permission where reference is made to the Tribunal
s.art061 Information for public file of mutual society
s.art062 Application of section 20
s.art063 Requirement to reapply for Part IV permission
s.art064 Requirement to reapply: procedure
s.art065 Authorised unit trust schemes
s.art066 Schemes constituted in other EEA States
s.art067 Schemes authorised in designated countries or territories
s.art068 Individually recognised overseas schemes
s.art069 Directions imposed on authorised unit trust schemes
s.art070 Directions imposed on schemes authorised in designated countries or territories
s.art071 Directions imposed on individually recognised schemes
s.art072 General rule
s.art073 Persons previously approved subject to conditions
s.art074 Appointment approved but not taken up before commencement: section 60 of the Insurance Companies Act
s.art075 Appointment approved but not taken up before commencement: section 61 of the Insurance Companies Act
s.art076 Appointment of partner approved but not taken up before commencement
s.art077 UK firms with “passports” before commencement
s.art078 Disqualification of auditors
s.art079 Employment of prohibited persons: disqualification directions
s.art080 International securities self-regulating organisations

Connected legislation

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

TCGA 1992 SI 2017/1204

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