UK Statutory Instrument SI 2001 United Kingdom

Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

This Order specifies kinds of activities and investments for the purposes of the Financial Services and Markets Act 2000 (“the Act"). When an activity of a specified kind is carried on by way of business in relation to an investment of a specified kind, it is a “regulated activity" for …

Read it on legislation.gov.uk (opens in a new tab)
Enforced by
FCA, PRA
Status
Amended (in force with amendments)
Penalty ceiling
Prosecution 2 of 6 obligations carry an unlimited fine. 4 have no criminal penalty — flagged in the list below.

Does it bind you?

Business-side roles with duties under this instrument.

Any Person4

Plus 2 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

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

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.

Part 1

GENERAL

0 of 3 sections shown
3 other sections in this Part — procedural and definitional
s.003 Interpretation (opens in a new tab)
s.art001 Citation
s.art002 Commencement
Part 2

SPECIFIED ACTIVITIES

3 of 250 sections shown
s.art009 Revocation of certificate on request Regulated
Other duties (1) — Crown / regulator
  • FCA must revoke certificates on request and provide written noticeStatutory regulator
s.art009 False claims to be a certified person Prosecution
  • Claim to be a certified person when notAny Person
  • Make false claim of being a certified personAny Person

Unlimited fine

s.art009 Record of certified persons Regulated
Other duties (1) — Crown / regulator
  • FCA must include all certified persons in the public recordStatutory regulator
247 other sections in this Part — procedural and definitional
s.006 Sums paid by certain persons (opens in a new tab)
s.009 Sums received in consideration for the issue of debt securities (opens in a new tab)
s.010 Effecting and carrying out contracts of insurance (opens in a new tab)
s.011 Community co-insurers (opens in a new tab)
s.012 Breakdown insurance (opens in a new tab)
s.013 Application of sections 327 and 332 of the Act to insurance market activities (opens in a new tab)
s.014 Dealing in investments as principal (opens in a new tab)
s.015 Absence of holding out etc. (opens in a new tab)
s.016 Dealing in contractually based investments (opens in a new tab)
s.017 Acceptance of instruments creating or acknowledging indebtedness (opens in a new tab)
s.018 Issue by a company of its own shares etc. (opens in a new tab)
s.019 Risk management (opens in a new tab)
s.020 Other exclusions (opens in a new tab)
s.021 Dealing in investments as agent (opens in a new tab)
s.022 Deals with or through authorised persons (opens in a new tab)
s.023 Risk management (opens in a new tab)
s.024 Other exclusions (opens in a new tab)
s.025 Arranging deals in investments (opens in a new tab)
s.026 Arrangements not causing a deal (opens in a new tab)
s.027 Enabling parties to communicate (opens in a new tab)
s.028 Arranging transactions to which the arranger is a party (opens in a new tab)
s.029 Arranging deals with or through authorised persons (opens in a new tab)
s.030 Arranging transactions in connection with lending on the security of insurance policies (opens in a new tab)
s.031 Arranging the acceptance of debentures in connection with loans (opens in a new tab)
s.032 Provision of finance (opens in a new tab)
s.033 Introducing (opens in a new tab)
s.034 Arrangements for the issue of shares etc. (opens in a new tab)
s.035 International securities self-regulating organisations (opens in a new tab)
s.036 Other exclusions (opens in a new tab)
s.037 Managing investments (opens in a new tab)
s.038 Attorneys (opens in a new tab)
s.039 Other exclusions (opens in a new tab)
s.040 Safeguarding and administering investments (opens in a new tab)
s.041 Acceptance of responsibility by third party (opens in a new tab)
s.042 Introduction to qualifying custodians (opens in a new tab)
s.043 Activities not constituting administration (opens in a new tab)
s.044 Other exclusions (opens in a new tab)
s.045 Sending dematerialised instructions (opens in a new tab)
s.046 Instructions on behalf of participating issuers (opens in a new tab)
s.047 Instructions on behalf of settlement banks (opens in a new tab)
s.048 Instructions in connection with takeover offers (opens in a new tab)
s.049 Instructions in the course of providing a network (opens in a new tab)
s.050 Other exclusions (opens in a new tab)
s.051 Establishing etc. a collective investment scheme (opens in a new tab)
s.052 Establishing etc. a pension scheme (opens in a new tab)
s.053 Advising on investments (opens in a new tab)
s.054 Advice given in newspapers etc. (opens in a new tab)
s.055 Other exclusions (opens in a new tab)
s.056 Advice on syndicate participation at Lloyd’s (opens in a new tab)
s.057 Managing the underwriting capacity of a Lloyd’s syndicate (opens in a new tab)
s.058 Arranging deals in contracts of insurance written at Lloyd’s (opens in a new tab)
s.059 Funeral plan contracts (opens in a new tab)
s.060 Plans covered by insurance or trust arrangements (opens in a new tab)
s.061 Regulated mortgage contracts (opens in a new tab)
s.062 Arranging administration by authorised person (opens in a new tab)
s.063 Administration pursuant to agreement with authorised person (opens in a new tab)
s.064 Agreeing to carry on specified kinds of activity (opens in a new tab)
s.065 Overseas persons etc (opens in a new tab)
s.066 Trustees, nominees and personal representatives (opens in a new tab)
s.067 Activities carried on in the course of a profession or non-investment business (opens in a new tab)
s.068 Activities carried on in connection with the sale of goods or supply of services (opens in a new tab)
s.069 Groups and joint enterprises (opens in a new tab)
s.070 Activities carried on in connection with the sale of a body corporate (opens in a new tab)
s.071 Activities carried on in connection with employee share schemes (opens in a new tab)
s.072 Overseas persons (opens in a new tab)
s.acting as trustee or depositary of an aif Acting as trustee or depositary of an AIF
s.acting as trustee or depositary of a uk ucits Acting as trustee or depositary of a UK UCITS
s.activities carried on by a provider of relevant go Activities carried on by a provider of relevant goods or services
s.activities carried on by certain energy suppliers Activities carried on by certain energy suppliers
s.activities carried on by reason of providing pensi Activities carried on by reason of providing pensions guidance ...
s.activities carried on by registered social landlor Activities carried on by registered social landlords
s.activities carried on in relation to a relevant ag Activities carried on in relation to a relevant agreement in relation to land
s.activities for which no fee is paid Activities for which no fee is paid
s.activities in relation to certain agreements relat Activities in relation to certain agreements relating to land
s.activities in relation to certain regulated credit Activities in relation to certain regulated credit agreements
s.activities in relation to debentures and bonds Activities in relation to debentures and bonds
s.activities where person has a connection to the ag Activities where person has a connection to the agreement
s.administering a benchmark Administering a benchmark
s.administration of a benchmark by the fca Administration of a benchmark by the FCA
s.administration of a specified benchmark by the fca Administration of a specified benchmark by the FCA
s.administration pursuant to agreement with authoris Administration pursuant to agreement with authorised person
s.advice given by reason of providing pensions guida Advice given by reason of providing pensions guidance ...
s.advice given in the course of administration by au Advice given in the course of administration by authorised person
s.advising on conversion or transfer of pension bene Advising on conversion or transfer of pension benefits
s.advising on regulated credit agreements for the ac Advising on regulated credit agreements for the acquisition of land
s.advising on regulated home purchase plans Advising on regulated home purchase plans
s.advising on regulated home reversion plans Advising on regulated home reversion plans
s.advising on regulated mortgage contracts Advising on regulated mortgage contracts
s.advising on regulated sale and rent back agreement Advising on regulated sale and rent back agreements
s.applications for certificates Applications for certificates
s.arrangements made in the course of administration Arrangements made in the course of administration by authorised person
s.arranging administration by authorised person Arranging administration by authorised person
s.arranging contracts , plans or agreements to which Arranging contracts , plans or agreements to which the arranger is a party
s.arranging regulated home purchase plans Arranging regulated home purchase plans
s.arranging regulated home reversion plans Arranging regulated home reversion plans
s.arranging regulated mortgage contracts Arranging regulated mortgage contracts
s.arranging regulated sale and rent back agreements Arranging regulated sale and rent back agreements
s.art004 Specified activities: general
s.art005 Accepting deposits
s.art007 Sums received by solicitors etc.
s.art008 Sums received by persons authorised to deal etc.
s.art009 Funds received for payment services
s.art009 Sums in exchange for qualifying stablecoin
s.art009 Issuing qualifying stablecoin
s.art009 Safeguarding of qualifying cryptoassets and relevant specified investment cryptoassets
s.art009 Article 9N exclusion: group activity
s.art009 Article 9N exclusion:introductions
s.art009 Article 9N exclusion: temporary settlement arrangements
s.art009 Article 9N exclusion: other exclusions
s.art009 Operating a qualifying cryptoasset trading platform
s.art009 Dealing in qualifying cryptoassets as principal
s.art009 Article 9T exclusion:absence of holding out etc.
s.art009 Article 9T exclusion: other exclusions
s.art009 Dealing in qualifying cryptoassets as agent
s.art009 Article 9W: exclusions
s.art009 Arranging deals in qualifying cryptoassets
s.art009 Article 9Y exclusion: arrangements not causing a deal
s.art009 Article 9Y exclusion: introducing
s.art009 Activities carried on for the sale of goods or supply of services
s.art009 Activities incidental to the carrying on of a profession or business
s.art009 Article 9Y exclusion: enabling parties to communicate
s.art009 Article 9Y exclusion: arranging transactions to which the arranger is a party
s.art009 Article 9Y exclusion: trustees, nominees and personal representatives
s.art009 Article 9Y: other exclusions
s.art009 Qualifying cryptoasset staking
s.art009 Article 9Z6 exclusion: introducing
s.art009 Article 9Z6 exclusion: enabling parties to communicate
s.art009 Article 9Z6 exclusion: technical services exclusion
s.art012 Transformer vehicles: insurance risk transformation
s.art019 Transformer vehicles: insurance risk transformation
s.art036 Activities carried on by members of the legal profession etc
s.art036 Other exclusions
s.art036 Information society services
s.art039 Other exclusions
s.art039 Activities carried on by members of the legal profession etc
s.art039 Other exclusions
s.art051 Other exclusions
s.art052 Other exclusions
s.art052 Providing pensions guidance ...
s.art055 Providing Targeted Support
s.art060 Insolvency practitioners
s.art060 Exempt agreements: exemptions relating to the nature of the lender
s.art060 Exempt agreements: exemptions relating to the nature of the borrower
s.art060 Arranging administration by authorised person
s.art060 Administration pursuant to agreement with authorised person
s.art060 Other exclusions
s.art060 Exempt agreements: exemptions relating to the nature of the hirer
s.art060 Meaning of consumer etc.
s.art060 Local authorities
s.art063 Other exclusions
s.art063 Other exclusions
s.art063 Arranging administration by authorised person
s.art063 Administration pursuant to agreement with authorised person
s.art063 Other exclusions
s.art063 Arranging administration by authorised person
s.art063 Administration pursuant to agreement with authorised person
s.art063 Other exclusions
s.art063 ESG ratings
s.art063 Regulated products and services
s.art063 Unregulated benchmarks
s.art063 Unregulated credit ratings
s.art063 Intra-group ratings
s.art063 Private use
s.art063 Ancillary non-commercial provision
s.art063 Public authorities, central banks and international organisations
s.art063 Accreditation or certification
s.art063 Regulatory or legal requirement
s.art063 Proxy advice
s.art063 Other exclusion
s.art063 Interpretation
s.art072 Local authorities
s.art072 Swiss mutual recognition firms
s.assisting in the administration and performance of Assisting in the administration and performance of a contract of insurance
s.bidding in emissions auctions Bidding in emissions auctions
s.business angel-led enterprise capital funds Business Angel-led Enterprise Capital Funds
s.claims management on behalf of an insurer etc. Claims management on behalf of an insurer etc.
s.credit broking Credit broking
s.dealing by a company in its own shares Dealing by a company in its own shares
s.debt adjusting Debt adjusting
s.debt administration Debt administration
s.debt-collecting Debt-collecting
s.debt-counselling Debt-counselling
s.depositaries of uk ucits and aifs Depositaries of UK UCITS and AIFs
s.dormant account funds Dormant account funds
s.electronic money institutions Electronic money institutions
s.entering into and administering regulated home pur Entering into and administering regulated home purchase plans
s.entering into and administering regulated home rev Entering into and administering regulated home reversion plans
s.entering into and administering regulated sale and Entering into and administering regulated sale and rent back agreements
s.establishing etc. a collective investment scheme Establishing etc. a collective investment scheme
s.exclusion of electronic money from the compensatio Exclusion of electronic money from the compensation scheme
s.exempt agreements: exemption relating to the purch Exempt agreements: exemption relating to the purchase of land for non-residential purposes
s.exempt agreements: exemptions relating to nature o Exempt agreements: exemptions relating to nature of agreement
s.exempt agreements: exemptions relating to number o Exempt agreements: exemptions relating to number of repayments to be made
s.exempt agreements: exemptions relating to supply o Exempt agreements: exemptions relating to supply of essential services
s.exempt agreements: exemptions relating to the natu Exempt agreements: exemptions relating to the nature of the agreement
s.exempt agreements: exemptions relating to the tota Exempt agreements: exemptions relating to the total charge for credit
s.exempt agreements: provision qualifying articles 6 Exempt agreements: provision qualifying articles 60E and 60F
s.funds received for payment services Funds received for payment services
s.green deal plans Green deal plans
s.information society services Information society services
s.insolvency practitioners Insolvency practitioners
s.interpretation Interpretation
s.interpretation of chapter 14a etc. Interpretation of Chapter 14A etc.
s.introducing by individuals in the course of canvas Introducing by individuals in the course of canvassing off trade premises
s.introducing to authorised persons etc. Introducing to authorised persons etc.
s.issuing electronic money Issuing electronic money
s.large risks contracts where risk situated outside Large risks contracts where risk situated outside the United Kingdom
s.local authorities Local authorities
s.... managers of ucits and aifs ... Managers of UCITS and AIFs
s.managers of uk ucits and aifs Managers of UK UCITS and AIFs
s.managing an aif Managing an AIF
s.managing a uk ucits Managing a UK UCITS
s.meaning of “consumer” Meaning of “consumer”
s.meaning of “consumer” etc. Meaning of “consumer” etc.
s.meaning of consumer etc. Meaning of consumer etc.
s.miscellaneous exclusions Miscellaneous exclusions
s.mortgage contracts which are not regulated mortgag Mortgage contracts which are not regulated mortgage contracts
s.obtaining information from certified persons etc. Obtaining information from certified persons etc.
s.operating a collective investment scheme in relati Operating a collective investment scheme in relation to a UK UCITS or an AIF
s.operating a multilateral trading facility Operating a multilateral trading facility
s.operating an electronic system for public offers o Operating an electronic system for public offers of relevant securities
s.operating an electronic system in relation to lend Operating an electronic system in relation to lending
s.operating an organised trading facility Operating an organised trading facility
s.other exclusions Other exclusions
s.payment institutions Payment institutions
s.persons certified as small issuers etc. Persons certified as small issuers etc.
s.persons excluded from managing an aif Persons excluded from managing an AIF
s.persons seeking to use the exemption under article Persons seeking to use the exemption under Article 2.1(j) of the markets in financial instruments directive
s.providing basic advice on stakeholder products Providing basic advice on stakeholder products
s.providing pensions guidance ... Providing pensions guidance ...
s.provision of information – contracts of insurance Provision of information – contracts of insurance
s.provision of information on an incidental basis Provision of information on an incidental basis
s.publicly available factual data and subscription s Publicly available factual data and subscription services
s.registered consumer buy-to-let mortgage firms Registered consumer buy-to-let mortgage firms
s.regulated consumer hire agreements Regulated consumer hire agreements
s.regulated credit agreements Regulated credit agreements
s.revocation of certificate on fca ’s own initiative Revocation of certificate on FCA ’s own initiative
s.rules prohibiting the issue of electronic money at Rules prohibiting the issue of electronic money at a discount
s.schedule Schedule
s.securitisation repositories Securitisation repositories
s.specified benchmarks Specified benchmarks
s.sums received in exchange for electronic money Sums received in exchange for electronic money
s.the activity The activity
s.total charge for credit Total charge for credit
s.trade repositories Trade repositories
s.transaction to which the broker is a party Transaction to which the broker is a party
s.transformer vehicles: insurance risk transformatio Transformer vehicles: insurance risk transformation
Part 3

SPECIFIED ACTIVITIES IN RELATION TO INFORMATION

0 of 6 sections shown
6 other sections in this Part — procedural and definitional
s.activities carried on by members of the legal prof Activities carried on by members of the legal profession, etc
s.art089 Other exclusions
s.art089 Meaning of “consumer” etc.
s.operating a pensions dashboard service Operating a pensions dashboard service
s.providing credit information services Providing credit information services
s.providing credit references Providing credit references
Part 3

CLAIMS MANAGEMENT ACTIVITIES IN GREAT BRITAIN

0 of 18 sections shown
18 other sections in this Part — procedural and definitional
s.advice, investigation or representation in relatio Advice, investigation or representation in relation to an employment related claim
s.art089 Advice, investigation or representation in relation to a personal injury claim
s.art089 Advice, investigation or representation in relation to a financial services or financial product claim
s.art089 Advice, investigation or representation in relation to a housing disrepair claim
s.art089 Advice, investigation or representation in relation to a claim for a specified benefit
s.art089 Advice, investigation or representation in relation to a criminal injury claim
s.certain providers of referrals Certain providers of referrals
s.claims management activity conducted an independen Claims management activity conducted an independent trade union
s.claims management activity conducted by a charity Claims management activity conducted by a charity or not-for-profit agency
s.claims management activity conducted by a medical Claims management activity conducted by a medical defence union
s.claims management activity conducted by an insuran Claims management activity conducted by an insurance intermediary
s.claims management activity conducted by a person a Claims management activity conducted by a person appointed by a statutory or other public body
s.claims management activity conducted by a students Claims management activity conducted by a students’ union
s.claims management activity conducted by legal prof Claims management activity conducted by legal professionals
s.claims management activity conducted by the motor Claims management activity conducted by the Motor Insurers’ Bureau
s.seeking out, referrals and identification of claim Seeking out, referrals and identification of claims or potential claims
s.services in connection with counterclaims and clai Services in connection with counterclaims and claims against third parties
s.specified kinds of claims management activity Specified kinds of claims management activity
Part 3

SPECIFIED INVESTMENTS

0 of 29 sections shown
29 other sections in this Part — procedural and definitional
s.073 Investments: general (opens in a new tab)
s.074 Deposits (opens in a new tab)
s.075 Contracts of insurance (opens in a new tab)
s.076 Shares etc. (opens in a new tab)
s.077 Instruments creating or acknowledging indebtedness (opens in a new tab)
s.078 Government and public securities (opens in a new tab)
s.079 Instruments giving entitlements to investments (opens in a new tab)
s.080 Certificates representing certain securities (opens in a new tab)
s.081 Units in a collective investment scheme (opens in a new tab)
s.082 Rights under a pension scheme (opens in a new tab)
s.083 Options (opens in a new tab)
s.084 Futures (opens in a new tab)
s.085 Contracts for differences etc. (opens in a new tab)
s.086 Lloyd’s syndicate capacity and syndicate membership (opens in a new tab)
s.087 Funeral plan contracts (opens in a new tab)
s.088 Regulated mortgage contracts (opens in a new tab)
s.089 Rights to or interests in investments (opens in a new tab)
s.alternative finance investment bonds Alternative finance investment bonds
s.art088 Qualifying cryptoassets
s.art088 Qualifying stablecoin
s.consumer hire agreement Consumer hire agreement
s.credit agreement Credit agreement
s.electronic money Electronic money
s.emission allowances Emission allowances
s.greenhouse gas emissions allowances Greenhouse gas emissions allowances
s.pensions in respect of which information is reques Pensions in respect of which information is requested or provided using a pensions dashboard service
s.regulated home purchase plans Regulated home purchase plans
s.regulated home reversion plans Regulated home reversion plans
s.regulated sale and rent back agreements Regulated sale and rent back agreements
Part 4

CONSEQUENTIAL PROVISIONS

0 of 2 sections shown
2 other sections in this Part — procedural and definitional
s.090 Consequential amendments of the Consumer Credit Act 1974 (opens in a new tab)
s.091 Consequential amendments of subordinate legislation under the Consumer Credit Act 1974 (opens in a new tab)
Part 5

UNAUTHORISED PERSONS CARRYING ON INSURANCE DISTRIBUTION ACTIVITIES

1 of 5 sections shown
s.094 Members of designated professional bodies (opens in a new tab) Regulated
  • Designated professional bodies must notify the FCA of insurance distributorsAny Person
  • Notify FCA of members carrying out exempt insurance distribution activitiesAny Person
4 other sections in this Part — procedural and definitional
s.092 Interpretation (opens in a new tab)
s.093 Duty to maintain a record of unauthorised persons carrying on insurance distribution activities (opens in a new tab)
s.095 Exclusion from record where not fit and proper to carry on insurance distribution activities (opens in a new tab)
s.096 Exclusion from the record where FCA has exercised its powers under Part XX of the Act (opens in a new tab)
Part 6

MISCELLANEOUS

0 of 3 sections shown
3 other sections in this Part — procedural and definitional
s.097 Disapplication of section 49(2) of the Act (opens in a new tab)
s.art098 Application of section 137B of the Act to backing assets for qualifying stablecoin
s.art099 Application of section 137B of the Act to safeguarding of qualifying cryptoassets
Schedules

Schedules

0 of 91 shown
91 other schedules
s.001 CONTRACTS OF INSURANCE (opens in a new tab)
s.002 Financial Instruments and Investment services and activities (opens in a new tab)
s.004 Relevant Text of the Insurance Distribution Directive (opens in a new tab)
s.005 SPECIFIED BENCHMARKS (opens in a new tab)
s.007 ADDITIONAL ACTIVITIES INCLUDED IN THE ACTIVITY OF MANAGING AN AIF LISTED IN PARAGRAPH 2 OF ANNEX I TO THE ALTERNATIVE INVESTMENT FUND MANAGERS DIRECTIVE (opens in a new tab)
s.008 PERSONS EXCLUDED FROM REGULATED ACTIVITY OF MANAGING AN AIF (opens in a new tab)
s.sch001 Accident
s.sch001 Motor vehicle liability
s.sch001 Aircraft liability
s.sch001 Liability of ships
s.sch001 General liability
s.sch001 Credit
s.sch001 Suretyship
s.sch001 Miscellaneous financial loss
s.sch001 Legal expenses
s.sch001 Assistance
s.sch001 Sickness
s.sch001 Land vehicles
s.sch001 Railway rolling stock
s.sch001 Aircraft
s.sch001 Ships
s.sch001 Goods in transit
s.sch001 Fire and natural forces
s.sch001 Damage to property
s.sch001 Life and annuity
s.sch001 Marriage and birth
s.sch001 Linked long term
s.sch001 Permanent health
s.sch001 Social insurance
s.sch001 Tontines
s.sch001 Capital redemption contracts
s.sch001 Pension fund management
s.sch001 Collective insurance etc.
s.sch002 Transferable securities;
s.sch002 Options, futures, swaps, forward rate agreements and any other derivative...
s.sch002 Emission allowances consisting of any units recognised for compliance with...
s.sch002 Reception and transmission of orders in relation to one or...
s.sch002 Safekeeping and administration of financial instruments for the account of...
s.sch002 Money-market instruments;
s.sch002 Execution of orders on behalf of clients.
s.sch002 Granting credits or loans to an investor to allow the...
s.sch002 Units in collective investment undertakings;
s.sch002 Dealing on own account.
s.sch002 Advice to undertakings on capital structure, industrial strategy and related...
s.sch002 Options, futures, swaps, forward rate agreements and any other derivative...
s.sch002 Portfolio management.
s.sch002 Foreign exchange services where these are connected to the provision...
s.sch002 Options, futures, swaps, forwards and any other derivative contracts relating...
s.sch002 Investment advice.
s.sch002 Investment research and financial analysis or other forms of general...
s.sch002 Options, futures, swaps, and any other derivative contract relating to...
s.sch002 Underwriting of financial instruments and/or placing of financial instruments on...
s.sch002 Services relating to underwriting.
s.sch002 Option, futures, swaps, forwards and any other derivative contracts relating...
s.sch002 Placing of financial instruments without a firm commitment basis.
s.sch002 Investment services and activities included in Part 3 of this...
s.sch002 Derivative instruments for the transfer of credit risk;
s.sch002 Operation of an MTF .
s.sch002 Financial contracts for differences;
s.sch002 Operation of an OTF. ”
s.sch003 The following persons are excluded from the definition of “investment...
s.sch003 Interpretation
s.sch003 This paragraph applies if— (a) P's main business is not—...
s.sch003 ​The FCA may make rules specifying the following for the...
s.sch003 The exemption in paragraph 1(o) — (a) only applies to...
s.sch003 References in this Schedule to “regulated markets”, “MTFs” and “trading...
s.sch003 Any expression used in this Part of this Schedule which...
s.sch003 For the purpose of the exemption in paragraph 1(d), an...
s.sch003 “Direct electronic access”
s.sch003 “High-frequency algorithmic trading”
s.sch003 High message intraday rate
s.sch004 This Part has effect for the purposes of article 4(5)....
s.sch004 Article 2.1(2) of the insurance distribution directive has effect—
s.sch004 Article 2.1(4) of the insurance distribution directive has effect as...
s.sch004 Article 2.2 of the insurance distribution directive has effect as...
s.sch004a MEANING OF “BORROWER” IN RELATION TO GREEN DEAL CREDIT AGREEMENTS
s.sch006 Investment management.
s.sch006 Administration— (a) legal and fund management accounting services;
s.sch006 Marketing.
s.sch008 Interpretation of this Schedule
s.sch008 A securitisation special purpose entity.
s.sch008 An AIFM, the registered office of which is not in...
s.sch008 For the purposes of paragraph 1, in Article 4(1)(o) of...
s.sch008 In this Schedule— “ parent undertaking ” has the meaning...
s.sch008 Persons excluded
s.sch008 An AIFM in so far as it manages one or...
s.sch008 The trustees and managers of an occupational pension scheme within...
s.sch008 A national central bank.
s.sch008 A national, regional or local government or body or other...
s.sch008 A holding company.
s.sch008 An employee participation scheme or employee savings scheme.
7 other provisions
s.001 Interpretation (opens in a new tab)
s.002 Paragraph 2 of Part 1: “money-market instruments” (opens in a new tab)
s.004 Paragraphs 6 and 7 of Part 1: wholesale energy products that must be physically settled (opens in a new tab)
s.005 Paragraph 7 of Part 1: treatment of certain derivative financial instruments (opens in a new tab)
s.007 Paragraph 10 of Part 1: further derivative contracts included (opens in a new tab)
s.008 Paragraph 10 of Part 1: treatment of certain derivative contracts (opens in a new tab)
s.para.400 (a) Administration— (i) legal and fund management accounting services;

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