UK Statutory Instrument SI 2013/442 United Kingdom

The Financial Services Act 2012 (Transitional Provisions) (Miscellaneous Provisions) Order 2013

Read it on legislation.gov.uk (opens in a new tab)
Enforced by
FCA, PRA
Status
In Force
Penalty ceiling
Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm1 Any Person1

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
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.

s.art035 Notification requirements Regulated
  • Notify Bank of England and FCA of pre-commencement rule changes without delayFinancial Services Firm
s.art066 Duty to report on completion of default proceedings Regulated
  • Report completed default proceedings to the Bank of EnglandAny Person
68 other provisions — procedural and definitional
s.art001 Citation, commencement and interpretation
s.art002 The governing body of
s.art003 The annual report of the FCA
s.art004 The annual report of the PRA
s.art005 The Practitioner Panel
s.art006 The Consumer Panel
s.art007 Definition of “consumers”
s.art008 Scheme reports
s.art009 Sanction of the court for business transfer schemes: certificates
s.art010 Order sanctioning business transfer scheme
s.art011 Appointment of actuary in relation to reduction of benefits
s.art012 Proceedings before the Tribunal: appeals and references made before 1st April
s.art013 Proceedings before the Tribunal: appeals and references made on or after 1st April
s.art014 Decisions referred to the Tribunal
s.art015 Power to require information
s.art016 Power to require information: financial stability
s.art017 Safeguards
s.art018 Reports by skilled persons
s.art019 Appointment of persons to carry out investigations
s.art020 Support for overseas regulators
s.art021 Entry of premises under warrant
s.art022 Legal professional privilege
s.art023 Application of articles 24 to 27
s.art024 Obligation to notify: acquisition of control
s.art025 Assessment
s.art026 Approval
s.art027 Requests for further information
s.art028 Restriction notices
s.art029 Obligations to notify disposition of control
s.art030 Offences
s.art031 The Financial Services Compensation Scheme
s.art032 Exemption for recognised investment exchanges
s.art033 Application by a clearing house
s.art034 Recognition orders for recognised clearing houses
s.art036 Power to give directions
s.art037 Revoking recognition
s.art038 Directions and revocation: procedure
s.art039 Complaints about recognised bodies
s.art040 Power to disallow excessive regulatory provision
s.art041 Duty to notify proposal to make regulatory provision
s.art042 Consideration whether to allow proposed provision
s.art043 Supervision of certain contracts
s.art044 Former underwriting members
s.art045 Powers of FCA and PRA to participate in proceedings: trust deeds for creditors in Scotland
s.art046 Administrator’s duty to report to FCA and PRA
s.art047 Powers of FCA and PRA to participate in proceedings: administration
s.art048 Administrator appointed by company or directors
s.art049 Powers of FCA and PRA to participate in proceedings (receivership)
s.art050 Receiver’s duty to report to FCA and PRA
s.art051 Powers of FCA and PRA to participate in proceedings (voluntary winding up)
s.art052 Insurers effecting or carrying out long-term contracts of insurance
s.art053 Insurers: service of petition etc
s.art054 Reclaim funds: service of petition etc
s.art055 Liquidator’s duty to report to FCA and PRA
s.art056 Powers of FCA and PRA to participate in proceedings: liquidation
s.art057 Insolvency practitioner’s duty to report to FCA and PRA
s.art058 Powers of FCA and PRA to participate in proceedings: insolvency
s.art059 Right of PRA to apply for an order
s.art060 Continuation of contracts of long-term insurance where insurer in liquidation
s.art061 Complaints made before the commencement date
s.art062 The investigator
s.art063 Complaints made on or after the commencement date about a function of the Authority
s.art064 Request for assistance by overseas regulatory authority
s.art065 Change in default rules
s.art067 Powers to give directions
s.art068 Application to determine whether default proceedings to be taken
s.art069 Solvency II
s.art070 Rules made by the Bank of England before the commencement date

Connected legislation

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

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