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FSA 2021 — Financial Services Act 2021

law · United Kingdom · ukpga/2021/22

1729 provisions

Defined terms · All instruments

1 Exclusion of certain investment firms from the Capital Requirements Regulation
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2 Prudential regulation of certain investment firms by FCA rules
3 Transfer of certain prudential regulation matters into PRA rules
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4 CRR Basel standards
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5 Prudential regulation of credit institutions etc by PRA rules
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6 Power to amend the Credit Rating Agencies Regulation
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7 Amendments of the Capital Requirements Regulation
8 Review of which benchmarks are critical benchmarks
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9 Mandatory administration of a critical benchmark
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10 Prohibition on new use where administrator to cease providing critical benchmark
11 Assessment of representativeness of critical benchmarks
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12 Mandatory contribution to critical benchmarks
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13 Designation of certain critical benchmarks
14 Use of Article 23A benchmarks
15 Orderly cessation of Article 23A benchmarks
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16 Review of exercise of powers under Article 23D
17 Policy statements relating to critical benchmarks
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18 Critical benchmarks provided for different currencies etc
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19 Changes to and cessation of a benchmark
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20 Extension of transitional period for benchmarks with non-UK administrators
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21 Benchmarks: minor and consequential amendments
22 Regulated activities and Gibraltar
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23 Power to make provision about Gibraltar
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24 Collective investment schemes authorised in approved countries
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25 Individually recognised overseas collective investment schemes
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26 Money market funds authorised in approved countries
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27 Provision of investment services etc in the UK
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28 Part 4A permissions: variation or cancellation on initiative of FCA
29 FCA rules about level of care provided to consumers by authorised persons
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30 Insider lists and managers' transactions
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31 Maximum sentences for insider dealing and financial services offences
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32 Money laundering offences: electronic money institutions, payment institutions and deposit-taking bodies
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33 Forfeiture of money: electronic money institutions and payment institutions
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34 Application of money laundering regulations to overseas trustees
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35 Debt respite scheme
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36 Successor accounts for Help-to-Save savers
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37 Regulated activities and application of Consumer Credit Act 1974
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38 Amendments of the PRIIPs Regulation etc
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39 Retention of personal data under the Market Abuse Regulation
40 Over the counter derivatives: clearing and procedures for reporting
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41 Regulations about financial collateral arrangements
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42 Appointment of chief executive of FCA
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43 Subordinate legislation made under retained direct EU legislation
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44 Payment services and the provision of cash
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45 Power to make consequential provision
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46 Regulations
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47 Interpretation
48 Extent
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49 Commencement and transitional provision
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50 Short title
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2C
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143A FCA investment firms
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143B Other terms used in this Part
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143C Duty to make rules applying to FCA investment firms
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143D Duty to make rules applying to parent undertakings
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143E Powers to make rules applying to parent undertakings
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143F Part 9C rules
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143G Matters to consider when making Part 9C rules
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143H Explanation to accompany consultation on rules
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143I Exceptions from sections 143G and 143H
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143J Requirement to have UK parent undertaking
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143K Imposition of requirements on non-authorised parent undertakings
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143L Applications under section 143K
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143M Determination of applications under section 143K
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143N Refusal of applications under section 143K
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143O Exercise of own-initiative power under section 143K
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143P Right to refer matters to the Tribunal
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143Q Assets requirements
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143R Managers of non-authorised parent undertakings
143S Part 9C prohibition orders
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143T Procedure for making a Part 9C prohibition order
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143U Varying and withdrawing a Part 9C prohibition order
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143V Offence of breaching a Part 9C prohibition order
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143W Disciplinary measures
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143X Procedure for disciplinary measures
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143Y Statement of policy for penalties under section 143W
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143Z Procedure for statement of policy
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144A CRR rules
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144B Terms used in this Part
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144C Matters to consider when making CRR rules
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144D Explanation to accompany consultation on CRR rules
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144E Exceptions from sections 144C and 144D etc
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144F Power to consequentially amend enactments
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144G Disapplication or modification of CRR rules in individual cases
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144H Relationship with the capital requirements regulation
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10A
10B
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4ZA
4ZB
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1A
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