UK Statutory Instrument SI 2001/3592 United Kingdom

The Financial Services and Markets Act 2000 (Transitional Provisions) (Partly Completed Procedures) 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.

s.art100 Establishment of a branch by UK firm

amended 1 time

s.art101 Provision of services by UK firm

amended 1 time

s.art102 Interpretation

amended 1 time

s.art103 Request for reference: further consideration by the Authority

amended 1 time

s.art104 Effect of notification pursuant to article 103

amended 1 time

s.art105 Transitional reference to Financial Services Tribunal

amended 1 time

s.art106 Task of the Financial Services Tribunal on transitional reference

amended 1 time

s.art107 Appropriate decisions on determination of transitional reference

amended 1 time

s.art108 Modification of section 100 of Financial Services Act in relation to transitional reference

amended 1 time

s.art109 Test to be applied by the Financial Services Tribunal

amended 1 time

s.art110 Decisions taken by the Authority giving effect to Financial Services Tribunal recommendations

amended 1 time

s.art111 Modification of Financial Services Tribunal Rules

amended 1 time

s.art112 Preservation of right of appeal under the Banking Act

amended 1 time

s.art113 Application of the Banking Act to transitional appeals

amended 1 time

s.art114 Task of the banking appeal tribunal in relation to a transitional Banking Act appeal

amended 1 time

s.art115 Decisions taken by the Authority giving effect to banking appeal tribunal determination

amended 1 time

s.art116 Test to be applied by banking appeal tribunal

amended 1 time

s.art117 Modifications to Banking Appeal Tribunal Regulations 1987

amended 1 time

s.art118 Interpretation

amended 1 time

s.art119 Preservation of right of appeal under Friendly Societies Act

amended 1 time

s.art120 Application of Friendly Societies Act to transitional appeals

amended 1 time

s.art121 Task of friendly society tribunal in relation to a transitional friendly society appeal

amended 1 time

s.art122 Decisions taken by the Authority giving effect to friendly society tribunal determinations

amended 1 time

s.art123 Test to be applied by friendly society tribunal

amended 1 time

s.art124 Modifications to Friendly Societies Appeal Tribunal Regulations 1993

amended 1 time

s.art125 Interpretation

amended 1 time

s.art126 Preservation of right of appeal under Building Societies Act

amended 1 time

s.art127 Application of original Building Societies Act to transitional appeals

amended 1 time

s.art128 Task of the building society tribunal in relation to a transitional building society appeal

amended 1 time

s.art129 Decisions taken by the Authority giving effect to building society tribunal determinations

amended 1 time

s.art130 Test to be applied by building society tribunal

amended 1 time

s.art131 Modifications to Building Societies Appeal Tribunal Regulations 1987

amended 1 time

116 other provisions — procedural and definitional
s.001 In this Schedule— (a) “the Rules” means The Financial Services... (opens in a new tab)
s.002 The Tribunal may adapt the Rules when considering a reference... (opens in a new tab)
s.003 Where a matter is referred to the Tribunal under article... (opens in a new tab)
s.004 The references in the following rules to “the Authority notice”... (opens in a new tab)
s.005 In a reference where the applicant is the Authority, rule... (opens in a new tab)
s.006 In a case where the Authority is not the applicant... (opens in a new tab)
s.007 In a case where the Authority is the applicant— (opens in a new tab)
s.008 In a case where the Authority is the applicant, the... (opens in a new tab)
s.009 Rule 10(2) applies as if the words from “interests of... (opens in a new tab)
s.010 Rule 11 applies as if the reference to the referred... (opens in a new tab)
s.011 In a case where the Authority is the applicant, rule... (opens in a new tab)
s.012 The duties of the Authority to set out information under... (opens in a new tab)
s.013 Where a matter is referred to the Tribunal under article... (opens in a new tab)
s.014 The references in the following rules to “the Authority notice”... (opens in a new tab)
s.015 The references in the following rules to the “referred action”... (opens in a new tab)
s.016 The duties of the Authority to set out information under... (opens in a new tab)
s.017 Where a matter is referred to the Tribunal by a... (opens in a new tab)
s.art001 Citation and commencement
s.art002 Definitions
s.art003 Applications for authorisation
s.art004 Applications for variation or cancellation of suspension or restriction
s.art005 Notice of intention to refuse application for authorisation or variation of suspension under the
s.art006 Notice of intention to refuse application for authorisation under the
s.art007 Notice of intention to refuse application for variation of limited prohibition under the 2BCD or
s.art008 Surrenders of authorisations
s.art009 Procedure
s.art010 Notice of intention to withdraw or suspend authorisation under section 29 of the Financial Services Act: time for reference not expired
s.art011 Withdrawal or suspension of authorisation under section 29 of the Financial Services Act: time for reference expired
s.art012 Notice of intention to terminate or suspend authorisation under section 33 of the Financial Services Act: time for reference not expired
s.art013 Termination or suspension of authorisation under section 33 of the Financial Services Act: time for reference expired
s.art014 Notices under the Banking Act
s.art015 Effect of Banking Act notices after commencement
s.art016 Decision notified under section 13(7) of the Banking Act
s.art017 Notices under the Insurance Companies Act
s.art018 Effect of notices under the Insurance Companies Act after commencement
s.art019 Notice of grounds of unfitness of person under the Insurance Companies Act
s.art020 Notices under the ISD Regulations or the 2BCD Regulations
s.art021 Effect of notices under the ISD Regulations or the 2BCD Regulations after commencement
s.art022 Prohibition in relation to investment services under the ISD Regulations or the 2BCD Regulations: time for reference expired
s.art023 Alteration of restrictions imposed under 2BCD Regulations
s.art024 Notice by
s.art025 Interpretation
s.art026 Applications for authorisation
s.art027 Notice of intention to refuse application or to impose conditions
s.art028 Surrenders of authorisation
s.art029 Notice of intention to withdraw or revoke authorisation
s.art030 Mutual societies: notice of intention to impose conditions
s.art031 Notice of intention to give a direction under section 51 of
s.art032 Proceedings under section 52A of the Friendly Societies Act
s.art033 Conditions imposed under section 42A of the
s.art034 Notice of intention to give a direction under section 50 of the Building Societies Act
s.art035 Interpretation
s.art036 Notice of proposed directions under section 36 of the Building Societies Act
s.art037 Prohibition orders under section 36A of the Building Societies Act
s.art038 Unconfirmed directions under section 42B of the Building Societies Act
s.art039 Application for authorisation of unit trust scheme
s.art040 Notice of proposed alteration or change of trustee of unit trust scheme
s.art041 Notice of proposed change of manager of unit trust scheme
s.art042 Notice of intention to start marketing scheme constituted in another EEA State
s.art043 Notice by scheme authorised in a designated country or territory
s.art044 Applications by other overseas schemes for individual recognition
s.art045 Notice of proposed alterations in respect of an individually recognised scheme
s.art046 Notice of revocation of authorisation of unit trust scheme
s.art047 Cessation of recognition of scheme in designated country or territory
s.art048 Notice of revocation of recognition of individually recognised scheme
s.art049 Applications for approval
s.art050 Notices under section 60 of the Insurance Companies Act
s.art051 Notices under section 61 of the Insurance Companies Act
s.art052 Insurance Companies Act: miscellaneous provisions
s.art053 Notices in respect of bank or investment firm partners
s.art054 Public statements under section 60 of the Financial Services Act
s.art055 Disqualification directions
s.art056 Interpretation
s.art057 Application of this Chapter
s.art058 Determination of incomplete disciplinary proceedings
s.art059 Test to be applied by interim tribunal
s.art060 Appropriate decisions on determination by interim tribunal
s.art061 Decisions taken by the Authority giving effect to interim tribunal directions
s.art062 Appeal from determination of interim tribunal
s.art063 Modification of Tribunal Rules
s.art064 Substitution of proceedings under
s.art065 Service of warning or decision notice
s.art066 Conditions making it appropriate to give a decision notice without a warning notice
s.art067 Decision notices issued pursuant to this Chapter
s.art068 Public censure
s.art069 Financial penalty
s.art070 Power to order restitution
s.art071 Cancellation of Part IV permission
s.art072 Exercise of own initiative powers
s.art073 Public statement about registered person or individual
s.art074 Penalty imposed on registered person or individual
s.art075 Withdrawal of approval of registered person or individual
s.art076 Definition of “disciplinary measure”
s.art077 Incomplete appeals against disciplinary measure
s.art078 Task of interim tribunal when determining an appeal against disciplinary measure
s.art079 Preservation of right of appeal against disciplinary measure
s.art080 Modification of Tribunal Rules
s.art081 Definition of “intervention measure”
s.art082 Intervention measure stayed before commencement
s.art083 Intervention measure not stayed before commencement
s.art084 Intervention measure against registered individual or person
s.art085 Summary fine imposed before commencement
s.art086 President of the interim tribunal
s.art087 Constitution of the interim tribunal
s.art088 Power of the Authority to make arrangements for the interim tribunal
s.art089 Procedure of the interim tribunal
s.art090 Adaptation of dates and duration of periods in notices continued in effect
s.art091 Explanation of notices continued in effect
s.art092 Validity of notices continued in effect
s.art093 Effect of lapsed notices
s.art094 Right of third party to receive notice of post commencement decision
s.art095 Right of third party to refer matter to the Tribunal
s.art096 EEA firms seeking to establish a branch
s.art097 EEA firms seeking to provide services
s.art098 EC companies seeking to carry on reinsurance business
s.art099 Authority’s duties as respects incoming firms

Connected legislation

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

TCGA 1992 SI 2017/1204

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