- Enforced by
- FCA
- Status
- In Force
What it defines
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.
Part 1
Introductory provisions
0 of 2 sections shown2 other sections in this Part — procedural and definitional
s.art001
Citation, commencement, interpretation and extent
s.art002
Carrying on a regulated claims management activity in Great Britain
Part 2
Amendments to secondary legislation made under the 2000 Act
0 of 36 sections shown36 other sections in this Part — procedural and definitional
s.art003
The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
s.art004
In article 4 (specified activities: general), after paragraph (2A) insert—...
s.art005
In article 64 (agreeing to carry on specified kinds of...
s.art006
In article 72A (information society services), after paragraph (1) insert—...
s.art007
After Part 3A insert— PART 3B CLAIMS MANAGEMENT ACTIVITIES IN...
s.art008
The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
s.art009
In article 2 (interpretation: general), in the appropriate place, insert—...
s.art010
In article 4— (a) in the heading of the article,...
s.art011
In article 8 (interpretation: solicited and unsolicited real time communications)—...
s.art012
In paragraph (1) of article 11 (combination of different exemptions)...
s.art013
In article 12 (communications to overseas recipients)—
s.art014
In paragraph (1) of article 13 (communications from customers and...
s.art015
In paragraph (2) of article 14 (follow up non-real time...
s.art016
In paragraph (1A) of article 15 (introductions) after sub-paragraph (c)...
s.art017
In article 16 (exempt persons) in paragraph (1) sub-paragraph (c)...
s.art018
In article 17 (generic promotions)— (a) at the end of...
s.art019
In article 19 (investment professionals) after paragraph (6) insert —...
s.art020
In article 20 (communications by journalists) in paragraph (3)—
s.art021
In article 27 (application of exemptions in Part 6) after...
s.art022
In article 28 (one off non-real time communications and solicited...
s.art023
In article 28A (one off unsolicited real time communications) after...
s.art024
In article 30 (overseas communicators: solicited real time communications) after...
s.art025
In article 31 (overseas communicators: non-real time communications to previously...
s.art026
In article 32 (overseas communicators: unsolicited real time communications to...
s.art027
In article 33 (overseas communicators: unsolicited real time communications to...
s.art028
Article 36 (nationals of EEA States other than United Kingdom)...
s.art029
In article 39 (joint enterprises) in paragraph (2) after “controlled...
s.art030
In article 47 (persons in the business of disseminating information)...
s.art031
In article 49 (high net worth companies, unincorporated associations etc)...
s.art032
In article 55A (non-real time communication by members of professions)—...
s.art033
In article 59 (annual accounts and directors’ report) in paragraph...
s.art034
In article 61 (sale of goods and supply of services)...
s.art035
In article 73 (advice centres) in paragraph (2)—
s.art036
After article 73 (advice centres) insert— PART 6A EXEMPT COMMUNICATIONS:...
s.art037
After article 73J (inserted by article 36) insert— PART 7...
s.art038
After paragraph 11 of Schedule 1 (controlled activities) insert— PART...
Part 3
Transitional provisions
0 of 45 sections shown45 other sections in this Part — procedural and definitional
s.art039
Interpretation
s.art040
Meaning of “relevant person”
s.art041
Applications for authorisation made to the Regulator: authorisation by the FCA
s.art042
Applications for authorisation made to the Regulator: appeal of decision
s.art043
Proposal by the Regulator to vary authorisation: determination by the FCA
s.art044
Variation of authorisation by the Regulator: appeal of decision
s.art045
Proposal by the Regulator to cancel authorisation: determination by the FCA
s.art046
Cancellation of authorisation by the Regulator: appeal of decision
s.art047
Proposal by the Regulator to suspend authorisation: determination by the FCA
s.art048
Suspension of authorisation by the Regulator: appeal of decision
s.art049
Notice by the Regulator of proposed direction
s.art050
Compliance with information requirement imposed by the Regulator
s.art051
Penalties for conduct for which the Regulator has not given notice of proposed penalty
s.art052
Penalties for conduct for which the Regulator has given notice of proposed penalty
s.art053
Penalties for conduct for which the Regulator has given penalty decision: appeal of decision
s.art054
Penalties for conduct for which the Regulator has given penalty decision: penalty due
s.art055
Investigation and prosecution after 1st April 2019 in relation to conduct before that date
s.art056
Unprofessional conduct: continuation of investigation commenced by the Regulator
s.art057
Offences under the 2006 Act: continuation of investigation commenced by the Regulator and institution of criminal proceedings
s.art058
Continuation of criminal proceedings instituted by the Regulator
s.art059
Continuation of injunction applications made by the Regulator
s.art060
Continuation of application made by the Regulator for a search warrant
s.art061
Retention of records seized by an officer of the Regulator
s.art062
Decision notices
s.art063
Conditions and directions
s.art064
Fees and invoices
s.art065
Continuation of appeals commenced before 1st April 2019
s.art066
Right to appeal after 1st April 2019 against a decision of the Regulator
s.art067
Continuation of references made by the Regulator to the First-tier Tribunal
s.art068
Interpretation
s.art069
Complaints made before 1st April 2019 not concluded by that date
s.art070
Complaints made on or after 1st April 2019 about acts or omissions before that date
s.art071
Procedure for dealing with relevant complaints
s.art072
Determination of relevant existing complaints
s.art073
Determination of relevant new complaints
s.art074
Funding and charges
s.art075
Surplus fees
s.art076
Exemption from liability in damages
s.art077
Privilege
s.art078
Record-keeping and reporting requirements relating to relevant complaints
s.art079
Information and reports
s.art080
Temporary permission
s.art081
Procedure for notifying the FCA of a desire to be registered for temporary permission
s.art082
Duration of temporary permission
s.art083
Application of the 2000 Act to persons with a temporary permission
Part 4
Rules and guidance
0 of 2 sections shown2 other sections in this Part — procedural and definitional
s.art084
Claims management related rules and guidance made by the FCA
s.art085
Designation by the FCA of the Regulator’s Rules
Part 5
Miscellaneous
0 of 4 sections shown4 other sections in this Part — procedural and definitional
s.art086
Interpretation
s.art087
Legal professional privilege
s.art088
Complaints against the Regulator where no determination made before 1st April 2019
s.art089
Definition of “consumer”
Part 6
Consequential amendments, revocations and saving and supplemental provisions
13 of 23 sections shown
s.art100
Legislative and Regulatory Reform (Regulatory Functions) Order 2007
amended 2 times
s.art101
Legal Services Act 2007 (Disclosure of Restricted Information) Order 2011
amended 2 times
s.art102
Damages-Based Agreements Regulations 2013
amended 2 times
s.art103
Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013
amended 2 times
s.art104
Economic Growth (Regulatory Functions) Order 2017
amended 2 times
s.art105
Revocations
amended 2 times
s.art106
General scope of saving provisions
amended 2 times
s.art107
Courts and Legal Services Act 1990
amended 2 times
s.art108
Compensation Act 2006
amended 2 times
s.art109
Legal Services Act 2007
amended 2 times
s.art110
Legal Aid, Sentencing and Punishment of Offenders Act 2012
amended 1 time
s.art111
Compensation (Claims Management Services) Regulations 2006
amended 2 times
s.art112
Damages-Based Agreements Regulations 2013
amended 2 times
10 other sections in this Part — procedural and definitional
s.art090
Courts and Legal Services Act 1990
s.art091
Financial Services and Markets Act 2000
s.art092
Enterprise Act 2002
s.art093
Compensation Act 2006
s.art094
Tribunals, Courts and Enforcement Act 2007
s.art095
Legal Services Act 2007
s.art096
Legal Aid, Sentencing and Punishment of Offenders Act 2012
s.art097
Crime and Courts Act 2013
s.art098
Financial Services (Banking Reform) Act 2013
s.art099
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Part 7
Review
1 of 1 section shown
s.art113
Review
amended 2 times
Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.