Financial Services and Markets Act 2000

The JC’s Reg and Leg resource™ UK Edition Go Premium Index: Click ᐅ to expand: Regulation Comments? Questions? Suggestions? Requests? Insults? We’d love to 📧 hear from you. Sign up for our newsletter.

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.