INFORMATION/ASSISTANCE
|
|
FSMA
SECTION NUMBER
|
DESCRIPTION
|
STATUS
|
|
47
(1) and (3)
(b)
& (c)
|
Own-Initiative
Power (Overseas Regulators) Regulations
|
Made
(19/07/2001- 2639)
|
|
183
(2)
188
(2)
|
Consultation
with Competent Authorities Regulations
|
Made
(12/07/2001-2509)
|
|
192
(a)
|
Controllers
Exemption Order
|
Made
(19/07/2001- 2638)
|
|
342
(5)
343
(5)
|
Communications
by Auditors Regulations
|
Made
(17/07/2001- 2587)
|
|
342
(5)
343
(5)
|
Communications
by Actuaries
|
Consultation
before N2 but implementation after N2
|
|
349
(1)
|
Disclosure
of Confidential Information Regulations
|
Made
(15/06/2001-2188)
|
|
353
(1)
|
Disclosure
of Information by Prescribed Persons Regulations
|
Made
(10/05/2001-1857)
|
|
414
(1)
|
Service
of Notice Regulations
|
Made
(10/04/2001-1420)
|
|
Sch
19
Part
II & 19
|
Competition
Information (Specification of Enactment etc) Order
|
Made
(10/05/2001-1858)
|
|
INSURANCE/INSOLVENCY
|
|
FSMA
SECTION NUMBER
|
DESCRIPTION
|
STATUS
|
|
108
(1) |
Control
of Business Transfers (Requirements on Applicants) Regulations |
Forthcoming |
|
117
(a) & (b) |
Power
to make exemptions from Part VII |
No
plans to make before or at N2 |
|
142
(1) |
Supplement
Asset Identification rules for parents of insurance companies |
No
plans to make before or at N2 |
|
142
(4) |
Make
mortgages or charges created in breach of asset identification
rules void |
No
plans to make before or at N2 |
|
215
(6) |
Compensation
scheme and insolvency rules |
No
plans to make before or at N2 |
|
323
|
Transfer
of business done at Lloyd’s |
Forthcoming |
|
355 |
Definition
of Insurer |
Made
(20/07/2001-2634) |
|
360 |
Insurance
companies - administration |
Consultation
before N2 but implementation after N2 |
|
372
(9) (a) to (c) |
Prescribe
provisions concerning setting aside of demands for payment
of debts |
Forthcoming |
|
378
(1) |
Treatment
of assets of insurers on winding up |
Made
(23/08/2001-2968) |
|
379
(1) |
Winding
up rules for insurers |
Forthcoming |
|
424
(2) |
Meaning
of “Policy” and “policyholder” Order |
Made
(2/07/2001-2361) |
|
424
(3) |
Determine
law applicable to insurance contracts |
Made
(19/07/2001-2635) |
|
Sch
6 – 8 |
Specify
additional threshold conditions for 3rd country
insurers |
No
plans to make before or at N2 |
|
COLLECTIVE
INVESTMENT SCHEMES (CIS)
|
|
FSMA
SECTION NUMBER
|
DESCRIPTION
|
STATUS
|
|
235
(5) |
CIS
Order |
Made
(19/03/2001-1062) |
|
236
(4) |
Specify
which redemption or repurchases of shares in non-EEA states
are to be ignored in satisfying investment condition of
an OEIC |
No
plans to make before or at N2 |
|
238
(6) & (7) |
Promotion
of CIS (Exemptions) Order |
Made
(19/3/2001-1060) |
|
262
(1) (a) & (b) |
Open-Ended
Investment Companies Regulations |
Made
(27/3/2001-1228) |
|
264
(1) (a) |
CIS
Constituted in Other EEA States Regulations |
Made
(4/07/2001-2383) |
|
264
(3) ( c) |
Prescribe
information required in a notification |
No
plans to make before or at N2 |
|
270
(1) (a) |
Designated
countries and territories for the purposes of recognising
overseas authorised collectives investment schemes |
Existing
orders under the Financial Services Act (SIs 2015, 2148,
2149, and 2284 of 1988) have effect as orders made under
section 270(1)(a) by virtue of article 67(1) of The Financial
Services and Markets Act 2000 (Transitional Provisions)
(Authorised Persons etc) Order 2001Made
(20/7/2001- 2636) |
|
284
(2) |
Prescribe
the other schemes and persons who may be investigated as
part of an investigation into an authorised unit trust scheme |
No
plans to make before or at N2 |
|
235
(5) |
CIS
Amendment Order |
Forthcoming |
|
TRANSITIONAL
|
|
FSMA
SECTION NUMBER
|
DESCRIPTION
|
STATUS
|
|
426
to 428 |
Transitional
Provisions and Savings (Rules) Order |
Made
(23/04/2001-1534) |
|
426
to 428 |
Consequential
and Transitional Provisions (Miscellaneous) Order |
Made
(9/05/2001-1821) |
|
426
to 428 |
Transitional
Provisions (Ombudsman Scheme and Complaints Scheme) Order |
Made
(27/06/2001-2326) |
|
426,
427 & 428 (3) |
Consequential
and Transitional Provisions (Miscellaneous) (No 2) Order |
Made
(20/07/2001-2659) |
|
426,
427 & 428 (3) |
Transitional
Provisions and Savings (Civil Remedies, Discipline, Criminal
Offences etc.) Order |
Made
(20/7/2001-2657) |
|
426
to 428 |
Transitional
Provisions authorised persons etc Order |
Made
(20/7/2001-2636) |
|
426
to 428 |
Transitional
Provisions Controllers Order |
Made
(19/07/2001-2637) |
|
426
to 428 |
Transitional
Provisions Reviews of Pensions Business Order |
Made
(12/07/01-2512) |
|
426 |
Transitional
Provisions, Repeals and Savings)(Financial Services Compensation
Scheme) Order |
Made
(23/08/2001-2967) |
|
426 |
Transitional
- Partly-Completed Procedures |
Forthcoming |
|
426 |
Transitional
- Information Requirements and Investigations |
Forthcoming |
|
426 |
Transitional
- Business Transfers |
Forthcoming |
|
426 |
Transitional
- Credit Union Order |
Forthcoming |
|
426 |
Transitional
- Communication by Auditors |
Forthcoming |
|
427 |
Transitional
- Interim Authorisation |
Forthcoming |
|
OTHER
|
| FSMA
SECTION NUMBER |
DESCRIPTION |
STATUS |
|
416
(4)428
(3) |
Dissolution
of Insurance Brokers Registration Council |
Made
(30/03/2001-1283) |
|
426
(1) |
Orders
for Incidental, consequential, transitional supplemental
provisions |
Forthcoming |
|
428Sch
21 |
Designated
Date for Certain SROs Order |
Made
(7/04/2000-1734) |
|
428
(3)Sch
21 |
Transitional
Provisions - Designated Date for the SFA Order |
Made
(20/06/2001-2255) |
|
426
& 427 |
Consequential
Amendments (Confidential Information) (Bank of England)
Order |
Forthcoming |
|
426
& 427 |
Consequential
Amendments (Pre-Commencement Modifications) Order |
Made
(23/08/2001-2966) |
|
416426 |
Consequentials
(Industrial Assurance) Order |
Forthcoming |
|
416426 |
Consequentials/repeals/savings
Order |
Forthcoming |
|
426 |
Consequential
Amendments (Taxes) Order |
Forthcoming |
