- Draft legislation
This is a draft item of legislation. This draft has since been made as a UK Statutory Instrument: The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (revoked) No. 126
AMENDMENTS OF PART 18 OF THE ACT
1.Part 18 of the Act (recognised investment exchanges and clearing...
2.In section 286 (qualification for recognition), after subsection (5) insert—...
4.In section 290 of the Act (recognition orders), after subsection...
5.After section 292 (overseas investment exchanges and overseas clearing houses)...
6.After section 293 (notification requirements) insert— Information: compliance of recognised...
8.In section 297 (revoking recognition)— (a) after subsection (2) insert—...
9.In section 298 of the Act (directions and revocations: procedure),...
10.After section 301 (supervision of certain contracts) insert— CHAPTER1A CONTROL...
11.In section 302 of the Act (interpretation), in subsection (1),...
13.In section 306 of the Act (consideration by the Competition...
14.In section 307 of the Act (recognition orders: role of...
15.After section 312 (the Chapter II prohibition) insert— CHAPTER 3A...
16.In section 313 (interpretation of Part 18), in subsection (1)...
AMENDMENTS OF SCHEDULE 3 TO THE ACT
2.In paragraph 1(d) for “investment services directive” substitute “markets in...
4.In paragraph 5(a)— (a) for “Article 1.2 of the investment...
5.After paragraph 10A insert— UK investment firm ”UK investment firm” means a UK firm—
6.After paragraph 11 insert— Tied agent ”Tied agent” has the meaning given in Article 4.1.25 of...
9.In paragraph 14— (a) in sub-paragraph (1), after paragraph (b),...
10.In paragraph 19— (a) in sub-paragraph (3) for “The” substitute...
11.In paragraph 20— (a) in sub-paragraph (2) for “The” substitute...
12.After paragraph 20 insert— Tied agents (1) If a UK investment firm is seeking to use...
CONSEQUENTIAL AMENDMENTS OF OTHER ENACTMENTS
PART 2 AMENDMENTS OF SECONDARY LEGISLATION
14.Amendment of the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
15.Amendment of the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001
16.Amendment of the Financial Services and Markets Act 2000 (Consultation with Competent Authorities) Regulations 2001
17.Amendment of the Insurers (Reorganisation and Winding Up) Regulations 2004
18.Amendment of the Credit Institutions (Reorganisation and Winding up) Regulations 2004
19.Amendment of the Financial Conglomerates and Other Financial Groups Regulations 2004
20.Amendment of the Investment Recommendation (Media) Regulations 2005
EXERCISE OF PASSPORT RIGHTS UNDER THE INVESTMENT SERVICES DIRECTIVE
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