- Made under
- Financial Services and Markets Act 2000
- Status
- In Force
- Penalty ceiling
- Regulated
Does it bind you?
Business-side roles with duties under this instrument.
Any Person2
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.030
Algorithmic trading
Regulated
- Implement systems and risk controls for algorithmic tradingAny Person
s.032
Direct electronic access
Regulated
- Implement systems, controls and agreements for direct electronic access clientsAny Person
55 other provisions — procedural and definitional
s.001
Citation and commencement
s.002
Interpretation
s.002
References to EU Regulations etc
s.002
High message intraday rate
s.003
Designation of competent authorities
s.004
Applications to be an exempt investment firm
s.005
Limitation on exempt investment firms
s.006
Requirements applying to exempt investment firms
s.007
Transitional provision: exempt investment firms
s.008
Meaning of “exempt investment firm” in Chapter 1
s.009
Third country firms with an EEA branch: provision of services
s.010
FCA power to intervene in relation to third country firms with an EEA branch
s.011
Third country firms registered with the FCA: provision of services
s.012
FCA power to intervene in relation to third country firms registered with the FCA
s.013
Third country firms: provision of services to eligible counterparties or clients considered to be professionals
s.014
Third country firms: financial promotions
s.015
Interpretation of Chapter 2
s.015
FCA rules relating to position limits
s.016
FCA duty to establish position limits
s.017
Exemption for non-financial entities
s.018
Content of position limits
s.019
FCA duty to use Regulation (EU) 2017/591 to establish position limits and to review if market changes
s.020
ESMA opinions on position limits
s.021
Position limits affecting multiple EEA jurisdictions
s.022
Cooperation with other competent authorities regarding position limits affecting multiple EEA jurisdictions
s.023
General requirements for position limits
s.024
FCA duty to notify ESMA of established position limits and position management controls
s.025
Procedure in exceptional cases
s.026
Effect of position limits established by the FCA ...
s.027
FCA power to require information
s.028
FCA power to intervene
s.028
Cooperation with ESMA and other competent authorities in respect of interventions to restrict, reduce, or limit positions
s.029
Interpretation of Part 3
s.031
Provision of information to the FCA concerning algorithmic trading
s.033
Provision of information to the FCA concerning direct electronic access
s.034
Acting as a general clearing member
s.035
Synchronisation of business clocks
s.036
FCA power to impose requirements
s.037
Interpretation of Part 4
s.038
FCA and PRA power to remove a person from a management board
s.039
Right to refer matters to the Tribunal
s.040
Removal of persons from management boards: procedure
s.041
Provision of FCA record of recognised investment exchanges to ESMA and other competent authorities
s.042
Provision of information to ESMA about multilateral trading facilities etc
s.043
Provision to ESMA of reports by recognised investment exchanges of infringements of the exchange's rules, disorderly trading, suspected market abuse, and systems disruptions
s.044
Authorisation of members of management bodies to hold additional non-executive directorship
s.045
Provision of information to ESMA regarding sanctions and measures imposed for the purposes of the markets in financial instruments directive
s.046
Provision of information to other competent authorities regarding persons engaged in algorithmic trading or providing direct electronic access
s.047
Reports and applications
s.047
Position management and publication of position reports
s.047
Statements of Policy
s.048
Refund of fees by the Gambling Commission
s.049
Administration and enforcement of the Regulations
s.050
Amendments to legislation
s.051
Review
Schedules
Schedules
0 of 131 shown131 other schedules
s.sch001
Interpretation of Schedule 1
s.sch001
Public censure
s.sch001
Financial penalties
s.sch001
Warning notice
s.sch001
Decision notice
s.sch001
Statements of policy
s.sch001
Statements of policy: procedure
s.sch001
Misleading the FCA or PRA
s.sch001
Restriction on penalties
s.sch001
Application of Part 9 of the Act (hearings and appeals)
s.sch001
Application of Part 11 of the Act (information gathering and investigations)
s.sch001
Assimilated law
s.sch001
Restrictions on disclosure of information
s.sch001
Application of Part 25 of the Act (injunctions and restitution)
s.sch001
Application of Part 26 of the Act (notices)
s.sch001
Application of Part 27 of the Act (offences)
s.sch001
Application of section 413 of the Act (protected items)
s.sch001
FCA: penalties, fees and exemption from liability in damages
s.sch001
PRA: penalties, fees and exemption from liability in damages
s.sch001
Service of notices
s.sch001
Disclosure of confidential information
s.sch001
Communications by auditors
s.sch001
Functions of the FCA
s.sch001
Functions of the PRA
s.sch001
Monitoring and enforcement
s.sch001
Co-operation
s.sch001
Guidance
s.sch001
Reporting requirements
s.sch001
Interpretation of Part 3
s.sch002
The Act is amended as follows.
s.sch002
(1) Section 122I (power to suspend trading in financial instruments)...
s.sch002
After section 122I insert— Power to suspend auctioning of auctioned...
s.sch002
In section 123(1)(c)(i) (power to impose penalties or issue censure)...
s.sch002
(1) Section 123A (power to prohibit individuals from managing or...
s.sch002
In section 123B(1)(c) (suspending permission to carry on regulated activities...
s.sch002
In section 124(10) (statement of policy) in paragraph (c)(i) of...
s.sch002
(1) Section 129 (power of the court to impose administrative...
s.sch002
In section 131AB (interpretation)— (a) in the definition of “financial...
s.sch002
Amendments to Part 9A (rules and guidance)
s.sch002
Amendments to Part 12 (control over authorised persons)
s.sch002
Amendments to Part 3 (authorisation and exemption)
s.sch002
Amendments to Part 13 (incoming firms: intervention by FCA or PRA)
s.sch002
(1) Section 195A (contravention by relevant EEA firm etc of...
s.sch002
Amendments to Part 14 (disciplinary measures)
s.sch002
Amendments to Part 15 (the financial services compensation scheme)
s.sch002
In section 214(1) (general)— (a) in paragraph (a)—
s.sch002
(1) Section 215 (rights of the scheme in insolvency) is...
s.sch002
(1) Section 218A (regulators power to require information) is amended...
s.sch002
(1) Section 220 (scheme manager's power to inspect information held...
s.sch002
(1) Section 224 (scheme manager's power to inspect documents held...
s.sch002
Amendments to Part 18 (recognised investment exchanges and clearing houses)
s.sch002
(1) Section 39A (certain tied agents operating outside the United...
s.sch002
After section 287 (application by an investment exchange) insert— Application...
s.sch002
In section 290(1A) (recognition orders)— (a) for “Community” substitute “...
s.sch002
In section 292(3) (overseas investment exchanges and overseas clearing houses),...
s.sch002
In section 301E(4)(a) (disregarded holdings) for “4.1(8)” substitute “ 4.1.7...
s.sch002
(1) Section 312A (exercise of passport rights by EEA market...
s.sch002
(1) Section 312B (removal of passport rights from EEA market...
s.sch002
(1) Section 312C (exercise of passport rights by recognised investment...
s.sch002
In section 312D (interpretation of Chapter 3A of Part 18)—...
s.sch002
In section 313(1) (interpretation of Part 18)—
s.sch002
Amendments to Part 18A (suspension and removal of financial instruments from trading)
s.sch002
Amendments to Part 4A (permission to carry on regulated activities)
s.sch002
Omit section 313C (notification in relation to suspension or removal...
s.sch002
After section 313C insert— Suspension or removal of financial instruments...
s.sch002
(1) Section 313D (interpretation of Part 18A) is amended as...
s.sch002
Amendments to Part 20 (provision of financial services by members of the professions)
s.sch002
Amendments to Part 23 (public record, disclosure of information and co-operation)
s.sch002
Amendments to Part 26 (notices)
s.sch002
After section 391C (publication: special provisions relating to the UCITs...
s.sch002
After section 395(13)(bbza) (the FCA's and PRA's procedures) insert—
s.sch002
Amendments to Part 27 (offences)
s.sch002
Amendments to Part 28 (miscellaneous)
s.sch002
(1) Section 55R (persons connected with an applicant) is amended...
s.sch002
Omit sections 412A (approval and monitoring of trade-matching and reporting...
s.sch002
Amendments to Part 29 (interpretation)
s.sch002
In section 422A(4)(a) (disregarded holdings) for “4.1(8)” substitute “ 4.1.7...
s.sch002
In section 424A(5)(b) (investment firm) for “4.1.20” substitute “ 4.1.55...
s.sch002
Amendments to Schedule 3 (EEA passport rights)
s.sch002
Amendments to Schedule 10A (liability of issuers)
s.sch002
Amendments to Part 6 (official listing)
s.sch002
(1) Section 102A (meaning of “securities” etc) is amended as...
s.sch002
In section 103(1) (interpretation of Part 6) in the definition...
s.sch002
Amendments to Part 8 (provisions relating to market abuse)
s.sch003
The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
s.sch003
Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
s.sch003
Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001
s.sch003
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
s.sch003
Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
s.sch003
Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013
s.sch003
Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
s.sch003
Financial Services and Markets Act 2000 (PRA-Regulated Activities) Order 2013
s.sch003
Financial Services and Markets Act 2000 (Ring-Fenced Bodies and Core Activities) Order 2014
s.sch004
Building Societies Act 1986
s.sch004
Income Tax Act 2007
s.sch004
Counter-Terrorism Act 2008
s.sch004
Corporation Tax Act 2010
s.sch004
Finance Act 2010
s.sch004
Finance Act 2011
s.sch004
Financial Services (Banking Reform) Act 2013
s.sch004
Finance Act 1991
s.sch004
Friendly Societies Act 1992
s.sch004
Data Protection Act 1998
s.sch004
Competition Act 1998
s.sch004
Terrorism Act 2000
s.sch004
Proceeds of Crime Act 2002
s.sch004
Income Tax (Trading and Other Income) Act 2005
s.sch004
Companies Act 2006
s.sch005
Income Tax (Manufactured Overseas Dividends) Regulations 1993
s.sch005
Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009
s.sch005
Offshore Funds (Tax) Regulations 2009
s.sch005
Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010
s.sch005
Electronic Money Regulations 2011
s.sch005
Recognised Auction Platforms Regulations 2011
s.sch005
Investment Trust (Approved Company) (Tax) Regulations 2011
s.sch005
Supervision of Accounts and Reports (Prescribed Body) and Companies (Defective Accounts and Directors' Reports) (Authorised Person) Order 2012
s.sch005
Unauthorised Unit Trusts (Tax) Regulations 2013
s.sch005
Capital Requirements Regulations 2013
s.sch005
Stamp Duty and Stamp Duty Reserve Tax (Exchange Traded Funds) (Exemption) Regulations 2014
s.sch005
Financial Markets and Insolvency (Settlement Finality) Regulations 1999
s.sch005
Financial Services Act 2012 (Relevant Functions in Relation to Complaints Scheme) Order 2014
s.sch005
Public Interest Disclosure (Prescribed Persons) Order 2014
s.sch005
Reports on Payments to Governments Regulations 2014
s.sch005
Public Contracts Regulations 2015
s.sch005
Uncertificated Securities Regulations 2001
s.sch005
Insurers (Reorganisation and Winding Up) Regulations 2004
s.sch005
Credit Institutions (Reorganisation and Winding Up) Regulations 2004
s.sch005
Occupational Pension Schemes (Investment) Regulations 2005
s.sch005
Authorised Investment Funds (Tax) Regulations 2006
s.sch005
Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007
s.sch005
Payment Services Regulations 2009
Connected legislation
The wider family of instruments made under the same parent Act.
The Central Counterparties (Amendment, , and Transitional Provision) (EU Exit) Regulations 2018
SI 2018/1184
TCGA 1992
SI 2017/1204
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) Order 2002
SI 2002/1242
The Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010
SI 2010/3023
Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.