Financial Services and Markets Act 2000: Difference between revisions

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Latest revision as of 15:23, 12 May 2023

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

Primary legislation
The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 Controls what count as “regulated activities”.

“Regulated activities”

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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UK Regulation