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LIST OF STATUTORY INSTRUMENTS EXPECTED TO BE REQUIRED BEFORE N2

SCOPE

21

Financial Promotion Order

2001-1335

22

Regulated Activities Order

2001-0544

38

Exemption Order

2001-1201

39

Appointed Representatives Regulations

2001-1217

326

Designated Professional Bodies Order

2001-1226

327

Non-Exempt Activities Order

2001-1227

412

Gaming Contracts Order

shortly

419

Business Order

2001-1177



INFORMATION/ASSISTANCE

47

Own-Initiative Power (Overseas Regulators) Regulations

Shortly

183

188

Consultation with Competent Authorities Regulations

Shortly

192

Controllers Exemption Order

Shortly

342

343

Communications by Auditors Regulations

Shortly

349

Disclosure of Confidential Information Regulations

2001-2188

353

Disclosure of Information by Prescribed Persons Regulations

2001-1857

414

Service of Notices Regulations

2001-1420

S 19

Competition Information (Specification of Enactment etc) Order

2001-1858



REDRESS

20

71

150

202

Rights of Action Regulations

2001-2256



MARKET

118

Prescribed Markets and Qualifying Investments Order

2001-0996

286

Recognition Requirements for Investment Exchanges and Clearing Houses Regulations

2001-0995



LISTING REGIME

75

79

103

S 10

S 11

Official Listing of Securities Regulations

Shortly

87

S 11

Offers of Securities Order

Shortly

95

Subject regulating provisions and practices of competent authority to competition scrutiny

Not before N2



OFFENCES AND TRIBUNALS

168

402

Money Laundering Regulations

2001-1819

397

Misleading Statements and Practices (Offences) Order

Later

132

Tribunal Rules

2001-2476

134

Legal Assistance Scheme

Later



MUTUALS

334

335

336

337

338

Mutual Societies Order

Shortly



PASSPORTED INSTITUTIONS

213

214

224

Compensation Scheme Electing Participants Regulations

2001-1783

409

Gibraltar Order

Shortly

S 3

EEA Passport Rights regulations

Shortly



INSURANCE

108

Control of Business Transfers (Requirements on Applicants) Regulations

Later

117

Power to make exemptions from Part VII

Not before N2

142

Supplement Asset Identification rules for parents of insurance companies

Not before N2

142

Make mortgages or charges created in breach of asset identification rules void

Not before N2

215

Compensation scheme and insolvency rules

Not before N2

323

Transfer of business done at Lloyd’s

Later

355

Definition of insurer

Later

372

Prescribe provisions concerning setting aside of demands for payment of debts

Later

378

Treatment of assets on winding up

Later

379

Winding up rules for insurers

Later

424

Meaning of “Policy” and “Policyholder” Order

2001-2361

424

Determine law applicable to insurance contracts

Later

S 6

Variation of Threshold Conditions Order

Shortly



COLLECTIVE INVESTMENT SCHEMES (CIS)

235

CIS Order

2001-1062

236

Specify which redemption or repurchases of shares in non-EEA states are to be ignored in satisfying investment condition of an OEIC

Not before N2

238

Promotion of CIS (Exemptions) Order

2001-1060

262

Open-Ended Investment Companies Regulations

2001-1228

264

CIS Constituted in Other EEA States Regulations

2001-2383

270

Designate countries and classes of scheme in which CISs are deemed to be recognised schemes

Not before N2

284

Prescribe the other schemes and persons who may be investigated as part of an investigation into an authorised unit trust scheme

Not before N2



TRANSITIONALS ETC

416

Dissolution of Insurance Brokers Registration Council

2001-1283

426

Transitional Provisions and Savings (Rules) Order

2001-1534

426

Consequential and Transitional Provisions (Miscellaneous) Order

2001-1821

426

Transitional Provisions (Ombudsman Scheme and Complaints Scheme) Order

2001-2326

431

Commencement No 1 Order

2001-0516

431

Commencement No 2 Order

2001-1282

431

Commencement No 3 Order

2001-1820

431

Commencement No 4 and Transitional Provisions Order

2001-2364

S 21

Designated Date for Certain SROs Order

2000-1734

S 21

Designated Date for the SFA Order

2001-2255


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