UK Statutory Instrument
2018
United Kingdom
Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018
At a glance
Enforced by
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Legal Services Act 2007 (Disclosure of Restricted Information) Order 2011
Amended 2 timesDamages-Based Agreements Regulations 2013
Amended 2 timesLegal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013
Amended 2 timesEconomic Growth (Regulatory Functions) Order 2017
Amended 2 timesRevocations
Amended 2 timesGeneral scope of saving provisions
Amended 2 timesCourts and Legal Services Act 1990
Amended 2 timesCompensation Act 2006
Amended 2 timesLegal Services Act 2007
Amended 2 timesLegal Aid, Sentencing and Punishment of Offenders Act 2012
Amended 1 timeCompensation (Claims Management Services) Regulations 2006
Amended 2 timesDamages-Based Agreements Regulations 2013
Amended 2 timesReview
Amended 2 timesBrowse 99 other sections — procedural / definitional / commencement
Citation, commencement, interpretation and extent
Carrying on a regulated claims management activity in Great Britain
The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
In article 4 (specified activities: general), after paragraph (2A) insert—...
In article 64 (agreeing to carry on specified kinds of...
In article 72A (information society services), after paragraph (1) insert—...
After Part 3A insert— PART 3B CLAIMS MANAGEMENT ACTIVITIES IN...
The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
In article 2 (interpretation: general), in the appropriate place, insert—...
In article 4— (a) in the heading of the article,...
In article 8 (interpretation: solicited and unsolicited real time communications)—...
In paragraph (1) of article 11 (combination of different exemptions)...
In article 12 (communications to overseas recipients)—
In paragraph (1) of article 13 (communications from customers and...
In paragraph (2) of article 14 (follow up non-real time...
In paragraph (1A) of article 15 (introductions) after sub-paragraph (c)...
In article 16 (exempt persons) in paragraph (1) sub-paragraph (c)...
In article 17 (generic promotions)— (a) at the end of...
In article 19 (investment professionals) after paragraph (6) insert —...
In article 20 (communications by journalists) in paragraph (3)—
In article 27 (application of exemptions in Part 6) after...
In article 28 (one off non-real time communications and solicited...
In article 28A (one off unsolicited real time communications) after...
In article 30 (overseas communicators: solicited real time communications) after...
In article 31 (overseas communicators: non-real time communications to previously...
In article 32 (overseas communicators: unsolicited real time communications to...
In article 33 (overseas communicators: unsolicited real time communications to...
Article 36 (nationals of EEA States other than United Kingdom)...
In article 39 (joint enterprises) in paragraph (2) after “controlled...
In article 47 (persons in the business of disseminating information)...
In article 49 (high net worth companies, unincorporated associations etc)...
In article 55A (non-real time communication by members of professions)—...
In article 59 (annual accounts and directors’ report) in paragraph...
In article 61 (sale of goods and supply of services)...
In article 73 (advice centres) in paragraph (2)—
After article 73 (advice centres) insert— PART 6A EXEMPT COMMUNICATIONS:...
After article 73J (inserted by article 36) insert— PART 7...
After paragraph 11 of Schedule 1 (controlled activities) insert— PART...
Interpretation
Meaning of “relevant person”
Applications for authorisation made to the Regulator: authorisation by the FCA
Applications for authorisation made to the Regulator: appeal of decision
Proposal by the Regulator to vary authorisation: determination by the FCA
Variation of authorisation by the Regulator: appeal of decision
Proposal by the Regulator to cancel authorisation: determination by the FCA
Cancellation of authorisation by the Regulator: appeal of decision
Proposal by the Regulator to suspend authorisation: determination by the FCA
Suspension of authorisation by the Regulator: appeal of decision
Notice by the Regulator of proposed direction
Compliance with information requirement imposed by the Regulator
Penalties for conduct for which the Regulator has not given notice of proposed penalty
Penalties for conduct for which the Regulator has given notice of proposed penalty
Penalties for conduct for which the Regulator has given penalty decision: appeal of decision
Penalties for conduct for which the Regulator has given penalty decision: penalty due
Investigation and prosecution after 1st April 2019 in relation to conduct before that date
Unprofessional conduct: continuation of investigation commenced by the Regulator
Offences under the 2006 Act: continuation of investigation commenced by the Regulator and institution of criminal proceedings
Continuation of criminal proceedings instituted by the Regulator
Continuation of injunction applications made by the Regulator
Continuation of application made by the Regulator for a search warrant
Retention of records seized by an officer of the Regulator
Decision notices
Conditions and directions
Fees and invoices
Continuation of appeals commenced before 1st April 2019
Right to appeal after 1st April 2019 against a decision of the Regulator
Continuation of references made by the Regulator to the First-tier Tribunal
Interpretation
Complaints made before 1st April 2019 not concluded by that date
Complaints made on or after 1st April 2019 about acts or omissions before that date
Procedure for dealing with relevant complaints
Determination of relevant existing complaints
Determination of relevant new complaints
Funding and charges
Surplus fees
Exemption from liability in damages
Privilege
Record-keeping and reporting requirements relating to relevant complaints
Information and reports
Temporary permission
Procedure for notifying the FCA of a desire to be registered for temporary permission
Duration of temporary permission
Application of the 2000 Act to persons with a temporary permission
Claims management related rules and guidance made by the FCA
Designation by the FCA of the Regulator’s Rules
Interpretation
Legal professional privilege
Complaints against the Regulator where no determination made before 1st April 2019
Definition of “consumer”
Courts and Legal Services Act 1990
Financial Services and Markets Act 2000
Enterprise Act 2002
Compensation Act 2006
Tribunals, Courts and Enforcement Act 2007
Legal Services Act 2007
Legal Aid, Sentencing and Punishment of Offenders Act 2012
Crime and Courts Act 2013
Financial Services (Banking Reform) Act 2013
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
Financial Conduct Authority
Regulation of financial services firms and markets. Supervises banks, insurers, investment firms, payment services, and cryptoasset businesses. Issues authorisations and enforces conduct …
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