| Guvnor

Made under: Financial Services and Markets Act 2000
Enforced by: PRA
Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Financial Services Firm — also bound by 167 other Acts

Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance) 63 duties

Friendly Societies Act 1992 52 duties

Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance) 52 duties

The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001 50 duties

The Credit Unions (Northern Ireland) Order 1985 43 duties

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.

s.art003 Requirement to reapply for Part IV permission Regulated

Reapply for Part IV permission if directed by the AuthorityFinancial Services Firm

8 other provisions — procedural and definitional

s.art001 Citation, commencement and interpretation

s.art002 Credit unions registered at commencement

s.art004 Requirement to reapply: procedure

s.art005 Effect of restrictions and prohibitions under

s.art006 Approved persons

s.art007 Pre-commencement applications etc.

s.art008 Information gathering

s.art009 art.9

Connected legislation

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

Insurance Distribution (Regulated Activities and Miscellaneous Amendments) Order 2018 SI 2018

The Alternative Investment Fund Managers (Amendment) Regulations 2013 SI 2013/1797

The Bankruptcy (Financial Services and Markets Act 2000) Rules 2001 and the Insurers (Winding Up) Rules 2001 (Amendment) Rules 2019 SI 2019/754

The Central Counterparties (Amendment, , and Transitional Provision) (EU Exit) Regulations 2018 SI 2018/1184

The Central Securities Depositories (Amendment) (EU Exit) Regulations 2018 SI 2018/1320

The Collective Investment Schemes (Amendment ) (EU Exit) Regulations 2019 SI 2019/325

TCGA 1992 SI 2017/1204

The Credit Rating Agencies (Amendment ) (EU Exit) Regulations 2019 SI 2019/266

The Electronic Commerce and Solvency 2 (Amendment ) (EU Exit) Regulations 2019 SI 2019/1361

The Financial Holding Companies (Approval ) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 SI 2020/1406

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) (Amendment) Order 2003 SI 2003/2134

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) (Northern Ireland) Order 2005 SI 2005/1644

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers)(Northern Ireland) Order 2007 SI 2007/846

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2002 SI 2002/1242

The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010 SI 2010/3023

The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 SI 2019/632

The Financial Services and Markets Act 2000 (Amendments to Part 7) Regulations 2008 SI 2008/1468

The Financial Services and Markets Act 2000 and the Financial Services (Banking Reform) Act 2013 (Disclosure of Confidential Information) (Amendment) Regulations 2017 SI 2017/456

The Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2001 SI 2001/2508

The Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2004 SI 2004/453

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

The Financial Services and Markets Act 2000 (Permission and Applications) (Credit Unions etc.) Order 2002

Does it bind you?

Other Acts binding the same actors

What it requires

Connected legislation