UK Statutory Instrument
2001
United Kingdom
The Financial Services and Markets Act 2000 (Transitional Provisions) (Authorised Persons etc. ) Order 2001
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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 80 other sections — procedural / definitional / commencement
Definitions
Authorisation under section 25 of the Financial Services Act
Authorisation under section 7 of the Financial Services Act
Persons certified by designated professional bodies
Listed institutions
Lloyd’s underwriting agents
Lloyd’s members' advisers
Appointed representatives
Investment business carried on overseas before commencement
Persons authorised under the Banking Act
Banking business carried on overseas before commencement
Permission to carry on non-banking listed activities
Companies authorised under the Insurance Companies Act
EC companies carrying on reinsurance business
EC companies carrying on investment business
Insurance business carried on overseas before commencement
Friendly societies authorised under the Friendly Societies Act
Friendly societies: other permissions
Societies registered under the Friendly Societies Act 1974
Insurance business carried on overseas by friendly societies before commencement
Building societies authorised under the Building Societies Act
Banking business carried on overseas by building societies before commencement
Persons with more than one old authorisation etc.
EEA firms with “passports” under the 2BCD or ISD Regulations
EC companies carrying on direct insurance through UK branch
EC companies providing insurance in UK
Treaty firms authorised under section 31 of the Financial Services Act
Certificates under section 31(4) of the Financial Services Act
EC companies carrying on reinsurance business through UK branch
EC companies carrying on investment business as Treaty firms
Status for purposes of Part XIII of the Act
Old transitional provision
Prohibitions and requirements under sections 65 to 68 of the Financial Services Act
Prohibitions and requirements imposed by recognised self-regulating organisations or recognised professional bodies
Supplemental provision relating to requirements under section 67 of the Financial Services Act etc.
Requirements imposed under the Financial Services Act by virtue of the 2BCD or ISD Regulations as a matter of urgency
Restrictions under section 12 of the Banking Act
Directions under section 19 of the Banking Act
Directions under sections 11 and 12A of the Insurance Companies Act
Requirements under sections 38, 39, 40, 41, 43 and 45 of the Insurance Companies Act
Order of the court under section 40A of the Insurance Companies Act
Requirements imposed on former Lloyd’s underwriting members
Requirements and directions under Schedule 2F to the Insurance Companies Act
Conditions imposed under the Friendly Societies Act
Direction under section 40 of the Friendly Societies Act
Direction under section 51 of the Friendly Societies Act
Order of the court under section 52A of the Friendly Societies Act
Direction under section 53 of the Friendly Societies Act
Conditions and directions imposed under the Building Societies Act
Direction under section 43A of the Building Societies Act
Prohibitions and restrictions under regulations 9, 10 and 15 of the 2BCD Regulations and regulation 9 of the ISD Regulations
Prohibitions and restrictions under regulations 18 and 19 of the 2BCD Regulations and regulations 15 and 16 of the ISD Regulations
Supplemental
Notice of scope of permission
Responding to the scope of permission notice
Scope of permission where person agrees with notice
Final view notices
Scope of permission following final view notice
Scope of permission where reference is made to the Tribunal
Information for public file of mutual society
Application of section 20
Requirement to reapply for Part IV permission
Requirement to reapply: procedure
Authorised unit trust schemes
Schemes constituted in other EEA States
Schemes authorised in designated countries or territories
Individually recognised overseas schemes
Directions imposed on authorised unit trust schemes
Directions imposed on schemes authorised in designated countries or territories
Directions imposed on individually recognised schemes
General rule
Persons previously approved subject to conditions
Appointment approved but not taken up before commencement: section 60 of the Insurance Companies Act
Appointment approved but not taken up before commencement: section 61 of the Insurance Companies Act
Appointment of partner approved but not taken up before commencement
UK firms with “passports” before commencement
Disqualification of auditors
Employment of prohibited persons: disqualification directions
International securities self-regulating organisations
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
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. …
Connected legislation
parent Act
These instruments amend, apply, or refer to this Act. They may not all create direct business obligations.
Made under
Financial Services and Markets Act 2000 2000 Primary Act
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