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The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017

law · United Kingdom · uksi/2017/701

734 provisions

Defined terms · All instruments

1 Citation and commencement
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2 Interpretation
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1B
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2A References to EU Regulations etc
2B High message intraday rate
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3 Designation of competent authorities
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4 Applications to be an exempt investment firm
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5 Limitation on exempt investment firms
6 Requirements applying to exempt investment firms
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3A
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7 Transitional provision: exempt investment firms
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8 Meaning of “exempt investment firm” in Chapter 1
9 Third country firms with an EEA branch: provision of services
10 FCA power to intervene in relation to third country firms with an EEA branch
11 Third country firms registered with the FCA: provision of services
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12 FCA power to intervene in relation to third country firms registered with the FCA
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13 Third country firms: provision of services to eligible counterparties or clients considered to be professionals
14 Third country firms: financial promotions
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15 Interpretation of Chapter 2
15A FCA rules relating to position limits
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16 FCA power to establish position limits
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17 Exemption for non-financial entities
18 Content of position limits
19 FCA duty to use Regulation (EU) 2017/591 to establish position limits and to review if market changes
20 ESMA opinions on position limits
21 Position limits affecting multiple EEA jurisdictions
22 Cooperation with other competent authorities regarding position limits affecting multiple EEA jurisdictions
23 General requirements for position limits
24 FCA duty to notify ESMA of established position limits and position management controls
25 Procedure in exceptional cases
26 Effect of position limits established by the FCA ...
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27 FCA power to require information
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28 FCA power to intervene
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28A Cooperation with ESMA and other competent authorities in respect of interventions to restrict, reduce, or limit positions
29 Interpretation of Part 3
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30 Algorithmic trading
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31 Provision of information to the FCA concerning algorithmic trading
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32 Direct electronic access
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33 Provision of information to the FCA concerning direct electronic access
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34 Acting as a general clearing member
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35 Synchronisation of business clocks
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36 FCA power to impose requirements
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37 Interpretation of Part 4
38 FCA and PRA power to remove a person from a management board
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39 Right to refer matters to the Tribunal
40 Removal of persons from management boards: procedure
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41 Provision of FCA record of recognised investment exchanges to ESMA and other competent authorities
42 Provision of information to ESMA about multilateral trading facilities etc
43 Provision to ESMA of reports by recognised investment exchanges of infringements of the exchange's rules, disorderly trading, suspected market abuse, and systems disruptions
44 Authorisation of members of management bodies to hold additional non-executive directorship
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45 Provision of information to ESMA regarding sanctions and measures imposed for the purposes of the markets in financial instruments directive
46 Provision of information to other competent authorities regarding persons engaged in algorithmic trading or providing direct electronic access
47 Reports and applications
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47A Position management and publication of position reports
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47B Statements of Policy
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48 Refund of fees by the Gambling Commission
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49 Administration and enforcement of the Regulations
50 Amendments to legislation
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51 Review
1 Interpretation of Schedule 1
2 Assimilated law
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3 Functions of the FCA
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4 Functions of the PRA
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5 Monitoring and enforcement
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6 Co-operation
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7 Guidance
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8 Reporting requirements
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9 Interpretation of Part 3
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10 Public censure
11 Financial penalties
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12 Warning notice
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13 Decision notice
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14 Statements of policy
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15 Statements of policy: procedure
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16 Misleading the FCA or PRA
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17 Restriction on penalties
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18 Application of Part 9 of the Act (hearings and appeals)
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19 Application of Part 11 of the Act (information gathering and investigations)
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20 Restrictions on disclosure of information
21 Application of Part 25 of the Act (injunctions and restitution)
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22 Application of Part 26 of the Act (notices)
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23 Application of Part 27 of the Act (offences)
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24 Application of section 413 of the Act (protected items)
25 FCA: penalties, fees and exemption from liability in damages
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26 PRA: penalties, fees and exemption from liability in damages
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27 Service of notices
28 Disclosure of confidential information
29 Communications by auditors
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26
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2A
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2 Amendments to Part 3 (authorisation and exemption)
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4 Amendments to Part 4A (permission to carry on regulated activities)
6 Amendments to Part 6 (official listing)
9 Amendments to Part 8 (provisions relating to market abuse)
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18 Amendments to Part 9A (rules and guidance)
19 Amendments to Part 12 (control over authorised persons)
20 Amendments to Part 13 (incoming firms: intervention by FCA or PRA)
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22 Amendments to Part 14 (disciplinary measures)
23 Amendments to Part 15 (the financial services compensation scheme)
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29 Amendments to Part 18 (recognised investment exchanges and clearing houses)
39 Amendments to Part 18A (suspension and removal of financial instruments from trading)
43 Amendments to Part 20 (provision of financial services by members of the professions)
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44 Amendments to Part 23 (public record, disclosure of information and co-operation)
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45 Amendments to Part 26 (notices)
48 Amendments to Part 27 (offences)
49 Amendments to Part 28 (miscellaneous)
51 Amendments to Part 29 (interpretation)
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54 Amendments to Schedule 3 (EEA passport rights)
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55 Amendments to Schedule 10A (liability of issuers)
1 The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
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2 Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
3 Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001
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4 Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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5 Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
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6 Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013
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7 Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
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8 Financial Services and Markets Act 2000 (PRA-Regulated Activities) Order 2013
9 Financial Services and Markets Act 2000 (Ring-Fenced Bodies and Core Activities) Order 2014
2A
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2B
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3A
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3B
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7BA
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7BB
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9ZA
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9B
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9G
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9H
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9I
1 Building Societies Act 1986
2 Finance Act 1991
3 Friendly Societies Act 1992
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4 Data Protection Act 1998
5 Competition Act 1998
6 Terrorism Act 2000
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7 Proceeds of Crime Act 2002
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8 Income Tax (Trading and Other Income) Act 2005
9 Companies Act 2006
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10 Income Tax Act 2007
11 Counter-Terrorism Act 2008
12 Corporation Tax Act 2010
13 Finance Act 2010
14 Finance Act 2011
15 Financial Services (Banking Reform) Act 2013
1 Income Tax (Manufactured Overseas Dividends) Regulations 1993
2 Financial Markets and Insolvency (Settlement Finality) Regulations 1999
3 Uncertificated Securities Regulations 2001
4 Insurers (Reorganisation and Winding Up) Regulations 2004
5 Credit Institutions (Reorganisation and Winding Up) Regulations 2004
6 Occupational Pension Schemes (Investment) Regulations 2005
7 Authorised Investment Funds (Tax) Regulations 2006
8 Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007
9 Payment Services Regulations 2009
10 Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009
11 Offshore Funds (Tax) Regulations 2009
12 Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010
13 Electronic Money Regulations 2011
14 Recognised Auction Platforms Regulations 2011
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15 Investment Trust (Approved Company) (Tax) Regulations 2011
16 Supervision of Accounts and Reports (Prescribed Body) and Companies (Defective Accounts and Directors' Reports) (Authorised Person) Order 2012
17 Unauthorised Unit Trusts (Tax) Regulations 2013
18 Capital Requirements Regulations 2013
19 Stamp Duty and Stamp Duty Reserve Tax (Exchange Traded Funds) (Exemption) Regulations 2014
20 Financial Services Act 2012 (Relevant Functions in Relation to Complaints Scheme) Order 2014
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21 Public Interest Disclosure (Prescribed Persons) Order 2014
22 Reports on Payments to Governments Regulations 2014
23 Public Contracts Regulations 2015