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

s.003

Interpretation

s.006

Sums paid by certain persons

s.009

Sums received in consideration for the issue of debt securities

s.010

Effecting and carrying out contracts of insurance

s.011

Community co-insurers

s.012

Breakdown insurance

s.013

Application of sections 327 and 332 of the Act to insurance market activities

s.014

Dealing in investments as principal

s.015

Absence of holding out etc.

s.016

Dealing in contractually based investments

s.017

Acceptance of instruments creating or acknowledging indebtedness

s.018

Issue by a company of its own shares etc.

s.019

Risk management

s.020

Other exclusions

s.021

Dealing in investments as agent

s.022

Deals with or through authorised persons

s.023

Risk management

s.024

Other exclusions

s.025

Arranging deals in investments

s.026

Arrangements not causing a deal

s.027

Enabling parties to communicate

s.028

Arranging transactions to which the arranger is a party

s.029

Arranging deals with or through authorised persons

s.030

Arranging transactions in connection with lending on the security of insurance policies

s.031

Arranging the acceptance of debentures in connection with loans

s.032

Provision of finance

s.033

Introducing

s.034

Arrangements for the issue of shares etc.

s.035

International securities self-regulating organisations

s.036

Other exclusions

s.037

Managing investments

s.038

Attorneys

s.039

Other exclusions

s.040

Safeguarding and administering investments

s.041

Acceptance of responsibility by third party

s.042

Introduction to qualifying custodians

s.043

Activities not constituting administration

s.044

Other exclusions

s.045

Sending dematerialised instructions

s.046

Instructions on behalf of participating issuers

s.047

Instructions on behalf of settlement banks

s.048

Instructions in connection with takeover offers

s.049

Instructions in the course of providing a network

s.050

Other exclusions

s.051

Establishing etc. a collective investment scheme

s.052

Establishing etc. a pension scheme

s.053

Advising on investments

s.054

Advice given in newspapers etc.

s.055

Other exclusions

s.056

Advice on syndicate participation at Lloyd’s

s.057

Managing the underwriting capacity of a Lloyd’s syndicate

s.058

Arranging deals in contracts of insurance written at Lloyd’s

s.059

Funeral plan contracts

s.060

Plans covered by insurance or trust arrangements

s.061

Regulated mortgage contracts

s.062

Arranging administration by authorised person

s.063

Administration pursuant to agreement with authorised person

s.064

Agreeing to carry on specified kinds of activity

s.065

Overseas persons etc

s.066

Trustees, nominees and personal representatives

s.067

Activities carried on in the course of a profession or non-investment business

s.068

Activities carried on in connection with the sale of goods or supply of services

s.069

Groups and joint enterprises

s.070

Activities carried on in connection with the sale of a body corporate

s.071

Activities carried on in connection with employee share schemes

s.072

Overseas persons

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.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

s.activities carried on by members of the legal prof

Activities carried on by members of the legal profession, 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

s.advice, investigation or representation in relatio

Advice, investigation or representation in relation to an employment related 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

s.073

Investments: general

s.074

Deposits

s.075

Contracts of insurance

s.076

Shares etc.

s.077

Instruments creating or acknowledging indebtedness

s.078

Government and public securities

s.079

Instruments giving entitlements to investments

s.080

Certificates representing certain securities

s.081

Units in a collective investment scheme

s.082

Rights under a pension scheme

s.083

Options

s.084

Futures

s.085

Contracts for differences etc.

s.086

Lloyd’s syndicate capacity and syndicate membership

s.087

Funeral plan contracts

s.088

Regulated mortgage contracts

s.089

Rights to or interests in investments

s.alternative finance investment bonds

Alternative finance investment bonds

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

s.090

Consequential amendments of the Consumer Credit Act 1974

s.091

Consequential amendments of subordinate legislation under the Consumer Credit Act 1974

s.092

Interpretation

s.093

Duty to maintain a record of unauthorised persons carrying on insurance distribution activities

s.095

Exclusion from record where not fit and proper to carry on insurance distribution activities

s.096

Exclusion from the record where FCA has exercised its powers under Part XX of the Act

s.097

Disapplication of section 49(2) of the Act

s.001

CONTRACTS OF INSURANCE

s.002

Financial Instruments and Investment services and activities

s.004

Relevant Text of the Insurance Distribution Directive

s.005

SPECIFIED BENCHMARKS

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

s.008

PERSONS EXCLUDED FROM REGULATED ACTIVITY OF MANAGING AN AIF

s.sch004a

MEANING OF “BORROWER” IN RELATION TO GREEN DEAL CREDIT AGREEMENTS