Financial Services and Markets Act 2000: Difference between revisions

Revision as of 10:33, 10 May 2023

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The mainstay of UK financial services regulation, since 2000. Currently under review.

Dealing in investments as principal: Covered by article 14 of the Regulated Activities Order. In summary: buying, selling, subscribing for or underwriting designated investments (other than P2P agreements) as principal. See FCA handbook.

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	==Regulated activities==		==Regulated activities==
	*'''[[Dealing in investments as principal]]''': article 14 of the Regulated Activities Order ~~(Dealing in investments as principal), which is in~~ summary: buying, selling, subscribing for or underwriting designated investments (other than P2P agreements) as principal. See [https://www.handbook.fca.org.uk/handbook/glossary/G264.html FCA handbook].		*'''[[Dealing in investments as principal]]''': Covered by article 14 of the [[Regulated Activities Order]]. In summary: buying, selling, subscribing for or underwriting [[Designated investment - FCA Rulebook Term\|designated investments]] (other than P2P agreements) as [[principal]]. See [https://www.handbook.fca.org.uk/handbook/glossary/G264.html FCA handbook].