| Guvnor

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

Does it bind you?

Business-side roles with duties under this instrument.

Any Person3

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

Human Medicines Regulations 2012 184 duties

Merchant Shipping Act 1995 144 duties

Insolvency (England and Wales) Rules 2016 104 duties

Communications Act 2003 92 duties

Road Traffic Act 1988 92 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.art013 Prohibitions: inter-bank payment systems Regulated

Do not use inter-bank payment system services unless you are a direct participant or meet exceptionsAny Person

s.art014 Prohibitions: financial institution exposures Regulated

Do not incur financial institution exposures unless exemptedAny Person

s.art019 Financial institution exposures: small exposures Regulated

Do not incur financial institution exposures exceeding £100,000Any Person

43 other provisions — procedural and definitional

s.001 The European Union.

s.002 The European Atomic Energy Community.

s.003 The European Financial Stability Mechanism.

s.004 The European Financial Stability Facility.

s.005 The European Financial Stabilisation Mechanism.

s.006 The International Monetary Fund.

s.007 The Bank for International Settlements.

s.008 The European Investment Bank.

s.009 The European Investment Fund.

s.010 The Council of Europe Development Bank.

s.011 The International Bank for Reconstruction and Development.

s.012 The International Finance Corporation.

s.013 The African Development Bank.

s.014 The Asian Development Bank.

s.015 The Inter-American Development Bank.

s.016 The European Bank for Reconstruction and Development.

s.017 The Islamic Development Bank.

s.018 The International Finance Facility for Immunisation.

s.019 The Caribbean Development Bank.

s.020 The Nordic Development Bank.

s.021 The Multilateral Investment Guarantee Agency.

s.art001 Citation, commencement and interpretation

s.art002 Relevant financial institution

s.art003 Securitisation companies and structured finance vehicles: definitions

s.art004 Excluded activities: dealing in investments as principal

s.art005 Excluded activities: commodities trading

s.art006 Excluded activities: general exceptions

s.art007 Excluded activities: securitisation and covered bonds

s.art007 Excluded activities: SME exception

s.art008 Excluded activities: central bank exemption

s.art009 Excluded activities: derivatives

s.art010 Derivatives: forward contracts and swaps

s.art011 Derivatives: options and swaptions

s.art012 Derivatives: general conditions

s.art015 Financial institutions exposures: trade finance

s.art016 Financial institutions exposure: securitisation and covered bonds

s.art017 Financial institution exposures: conduit lending

s.art018 Financial institution exposures: repo transactions

s.art019 Financial institution exposures: ancillary exposures

s.art019 Financial institution exposures: financing of infrastructure projects

s.art019 Financial institution exposures: changes in status of counterparties

s.art020 Prohibitions: Non-UK and non-EEA branches and subsidiaries

s.art021 Transitional provision

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 (Excluded Activities and Prohibitions) Order 2014

Does it bind you?

Other Acts binding the same actors

What it requires

Connected legislation