(1) Safeguarding and administering assets belonging to another which consist... 6.Managing, or offering or agreeing to manage, assets belonging to... 7.Giving or offering or agreeing to give advice to persons... Establishing collective investment schemes. 0000001005 00000 n
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��(�/�v��Z�D�R����:�t��$�j@��V� 8. Procedure on giving directions under section 267 and varying them on FCA's own initiative. The Financial Services and Markets Tribunal. (1) No new application under section 9 of the 1986... Self-regulating organisations for friendly societies. 4. Powers of FCA and PRA to participate in proceedings: individual voluntary arrangements. This date is our basedate. 273. 6. Powers of court where information required. (1) The Treasury or the Secretary of State may—, Reviews of economy etc of the consumer financial education body. 328. Administrator’s duty to report to FCA and PRA. The Financial Services and Markets Act 2000 (c 8) is an Act of the Parliament of the United Kingdom that created the Financial Services Authority (FSA) as a regulator for insurance, investment business and banking, and the Financial Ombudsman Service to resolve disputes as a free alternative to the courts. In section 13(9) (defined terms), after paragraph (a) insert—, In section 13(9), after paragraph (c) insert—. 264. 8. Contravention of requirement imposed under this Part. 175. Chapter III Exclusion from the Competition Act 1998, 312A.Exercise of passport rights by EEA market operator, 312B. Insurance business: regulations supplementing Authority’s rules. Procedure when refusing approval of a proposal under section 251. 9A. It fulfils FCA and Bank obligations under the Financial Services and Markets Act 2000 (FSMA), as amended, to prepare and maintain a memorandum describing how they will work together in exercising their functions in relation to Recognised Investment Exchanges (RIEs) and Recognised Clearing Houses (RCHs). 0000008903 00000 n
Powers of FCA and PRA to participate in proceedings: individual voluntary arrangements. The regulatory objectives 3. 16. (1) Sub-paragraph (2) applies to a Treaty firm which—. Revised legislation carried on this site may not be fully up to date. Representations and references to the Tribunal. 168. 8. Additional procedure for EEA firms in certain cases. Liability of issuer for dishonest delay in publishing information. 97. (1) The Authority is not obliged to investigate a complaint... 9.The Authority must maintain satisfactory arrangements for—. Credit-related agreements made unenforceable by section 26, 26A or 27. 23.Omit sections 11B (loans approved by credit unions), 11C (grant... 24.In section 12, omit subsections (4) and (5). Exercise of own-initiative power: procedure. Powers of FCA or PRA to participate in proceedings. Rescission and variation of requirements. Part I Persons and functions for the purposes of section 351. 25.The FCA must include in the record that it maintains... 26.UK management companies: delegation of functions, 27.UK management companies: withdrawal of authorisation, 28.Management companies: request for information, Full-scope UKAIFMs: notification of breach by host state regulator. Overseas investment exchanges and overseas clearing houses. 259. Authorisation orders: authorised money market funds. Viele übersetzte Beispielsätze mit "Financial Services and Markets Act 2000" – Deutsch-Englisch Wörterbuch und Suchmaschine für Millionen von Deutsch-Übersetzungen. 19. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. 1.The Table set out after this paragraph has effect for... 8.The Control of Misleading Advertisements Regulations 1988, 12.The Electricity (Northern Ireland) Order 1992, 14.Part IV of the Airports (Northern Ireland) Order 1994. PART 12A Powers exercisable in relation to parent undertakings, 192A.Meaning of “qualifying authorised person”, 192B.Meaning of “qualifying parent undertaking”, 192C.Power to direct qualifying parent undertaking, 192H.Statement of policy: directions under section 192C, 192I.Statement of policy relating to directions: procedure, Rules requiring provision of information by parent undertakings, 192J.Rules requiring provision of information by parent undertakings, Rules applying to parent undertakings of ring-fenced bodies, 192JA.Rules applying to parent undertakings of ring-fenced bodies, Rules requiring parent undertakings to facilitate resolution, 192JB.Rules requiring parent undertakings to facilitate resolution, Failure to comply with direction or breach of rules, 192K.Power to impose penalty or issue censure, 192L.Procedure and right to refer to Tribunal, 192N.Imposition of penalties under section 192K: statement of policy, Part XIII Incoming Firms: Intervention by FCA or PRA.