The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2006

  1. Introductory Text

  2. 1.Citation, commencement and interpretation

  3. 2.Amendment of the Principal Order

  4. 3.Transitional provisions

  5. 4.Interim permission

  6. 5.Interim approval

  7. 6.Application of the Authority’s rules etc. to persons with interim permission or interim approval

  8. 7.Application of the Act etc.

  9. 8.Amendments to the Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001

  10. 9.Amendments to the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001

  11. 10.Amendment to the Financial Services and Markets Act 2000 (Exemption) Order 2001

  12. 11.Amendment to the Financial Services and Markets Act 2000 (Professions)(Non-Exempt Activities) Order 2001

  13. 12.Amendments to the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

  14. Signature

    1. SCHEDULE

      APPLICATION OF THE ACT AND THE PRINCIPAL ORDER TO PERSONS WITH AN INTRIM PERMISSION OR AN INTERIM APPROVAL

      1. 1.Paragraphs 2 and 3 apply to every person with interim...

      2. 2.For the purposes of section 20 (authorised persons acting without...

      3. 3.A person’s interim permission is to be disregarded for the...

      4. 4.Paragraphs 5(1), 6 to 9, 11, 12 and 13 apply...

      5. 5.(1) A person with interim permission is to be treated...

      6. 6.For the purposes of subsection (1) of section 21 (restrictions...

      7. 7.A person with an interim permission may still be an...

      8. 8.Subsection (3)(a) of section 213 (the compensation scheme) does not...

      9. 9.Subsection (1)(a) of section 347 (the record of authorised persons...

      10. 10.Section 347(1)(h) is disapplied in relation to persons with interim...

      11. 11.In article 22 of the Principal Order (deals with or...

      12. 12.In article 29 of the Principal Order (arranging deals with...

      13. 13.For the purposes of paragraphs (1)(a), (2)(a), (3) and (4)(a)...

  16. Explanatory Note