Source: http://www.legislation.gov.uk/cy/ukpga/2012/21/schedule/4
Timestamp: 2018-04-24 20:59:16
Document Index: 376655128

Matched Legal Cases: ['ART 1', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art 4', 'art. 2', 'art. 3', 'art 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art 4', 'art. 2', 'art. 3', 'art 4', 'art 4', 'art. 2', 'art. 3', 'art. 2', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'ART 4', 'art 13', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art 13', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3']

Financial Services Act 2012, SCHEDULE 4 is up to date with all changes known to be in force on or before 24 April 2018. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
SCHEDULE 4E+W+S+N.I.EEA passport rights and treaty rights
PART 1 E+W+S+N.I.Amendments of Schedule 3 to FSMA 2000: EEA passport rights
1Schedule 3 to FSMA 2000 (EEA passport rights) is amended as follows.E+W+S+N.I.
I1Sch. 4 para. 1 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I2Sch. 4 para. 1 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
Exercise of passport rights by EEA firmsE+W+S+N.I.
2(1)Paragraph 13 (establishment) is amended as follows.E+W+S+N.I.
(2)In sub-paragraphs (1) and (1A), for “Authority”, in each place, substitute “ appropriate UK regulator ”.
(a)for “Authority” substitute “ appropriate UK regulator ”, and
(5)In sub-paragraph (3), for “Authority” substitute “ appropriate UK regulator ”.
I3Sch. 4 para. 2 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I4Sch. 4 para. 2 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
3(1)Paragraph 14 (services) is amended as follows.E+W+S+N.I.
(2)In sub-paragraph (1), for “Authority”, in each place, substitute “ appropriate UK regulator ”.
(a)for “(2)(b)” substitute “ (2) ”, and
(b)for the words from “Authority” to the end substitute “ appropriate UK regulator received the relevant notice ”.
I5Sch. 4 para. 3 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I6Sch. 4 para. 3 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
4(1)Paragraph 15A (application for approval to manage UCITS) is amended as follows.E+W+S+N.I.
(2)For “Authority” or “Authority's”, in each place, substitute “ appropriate UK regulator ” or “appropriate UK regulator's”.
I7Sch. 4 para. 4 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I8Sch. 4 para. 4 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
5(1)Paragraph 15B (representations and references to the Tribunal) is amended as follows.E+W+S+N.I.
(2)For “Authority”, in both places, substitute “ appropriate UK regulator ”.
I9Sch. 4 para. 5 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I10Sch. 4 para. 5 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
6In paragraph 15C (information to home state regulator), in sub-paragraph (1), for “Authority” substitute “ appropriate UK regulator, as defined in paragraph 15A(7), ”.E+W+S+N.I.
I11Sch. 4 para. 6 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I12Sch. 4 para. 6 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
7In paragraph 17 (continuing regulation of EEA firms)—E+W+S+N.I.
(b)in paragraph (c), for “the Authority” substitute “ the FCA or the PRA ”.
I13Sch. 4 para. 7 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I14Sch. 4 para. 7 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
8In paragraph 18 (giving up right to authorisation), in paragraph (b), for “Part IV permission” substitute “ Part 4A permission ”.E+W+S+N.I.
I15Sch. 4 para. 8 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I16Sch. 4 para. 8 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
Exercise of passport rights by UK firmsE+W+S+N.I.
9In Part 3 (exercise of passport rights by UK firms), before the italic heading before paragraph 19 insert—E+W+S+N.I.
“Meaning of “the appropriate UK regulator”E+W+S+N.I.
I17Sch. 4 para. 9 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I18Sch. 4 para. 9 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
10(1)Paragraph 19 (establishment) is amended as follows.E+W+S+N.I.
(2)For “Authority”, in each place, substitute “ appropriate UK regulator ”.
I19Sch. 4 para. 10 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I20Sch. 4 para. 10 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
11(1)Paragraph 20 (services) is amended as follows.E+W+S+N.I.
I21Sch. 4 para. 11 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I22Sch. 4 para. 11 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I23Sch. 4 para. 12 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I24Sch. 4 para. 12 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I25Sch. 4 para. 13 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I26Sch. 4 para. 13 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
14In paragraph 22 (continuing regulation of UK firms), in sub-paragraph (3)—E+W+S+N.I.
(a)for “the Authority's consent” substitute “ the consent of the FCA or the PRA ”, and
(b)in paragraph (b), for “the Authority” substitute “ the FCA or the PRA ”.
I27Sch. 4 para. 14 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I28Sch. 4 para. 14 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
15(1)Paragraph 23 (power to impose requirements) is amended as follows.E+W+S+N.I.
(2)For “the Authority”, in each place, substitute “ the FCA ”.
(3)In sub-paragraph (1)(a), for “Part IV permission” substitute “ Part 4A permission ”.
(4)In sub-paragraphs (2) and (2A), for “section 45” substitute “ section 55L or 55M ”.
I29Sch. 4 para. 15 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I30Sch. 4 para. 15 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
16(1)Paragraph 24 (which relates to UK firms exercising rights under the banking consolidation directive) is amended as follows.E+W+S+N.I.
(2)In sub-paragraph (1)(a), for “Part IV permission” substitute “ Part 4A permission ”.
(a)for “the Authority”, in the first place, substitute “ either regulator ”,
(b)in paragraph (a), for “Part IV permission” substitute “ Part 4A permission ”, and
(c)in paragraph (b), for “the Authority” substitute “ that regulator ”.
I31Sch. 4 para. 16 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I32Sch. 4 para. 16 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
17After paragraph 24 insert—E+W+S+N.I.
“Arrangements between FCA and PRAE+W+S+N.I.
I33Sch. 4 para. 17 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I34Sch. 4 para. 17 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I35Sch. 4 para. 17 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I36Sch. 4 para. 18 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I37Sch. 4 para. 18 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
19In paragraph 26 (UK management companies: delegation of functions), for “Authority”, in each place, substitute “ appropriate UK regulator ”.E+W+S+N.I.
I38Sch. 4 para. 19 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I39Sch. 4 para. 19 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
20In paragraph 27 (UK management companies: withdrawal of authorisation), for “Authority”, in each place, substitute “ appropriate UK regulator ”.E+W+S+N.I.
I40Sch. 4 para. 20 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I41Sch. 4 para. 20 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
21In paragraph 28 (management companies: request for information), for “Authority”, in each place, substitute “ appropriate UK regulator ”.E+W+S+N.I.
I42Sch. 4 para. 21 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I43Sch. 4 para. 21 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I44Sch. 4 para. 22 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I45Sch. 4 para. 22 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I46Sch. 4 para. 23 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I47Sch. 4 para. 23 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I48Sch. 4 para. 24 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I49Sch. 4 para. 24 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I50Sch. 4 para. 25 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I51Sch. 4 para. 25 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I52Sch. 4 para. 26 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I53Sch. 4 para. 26 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I54Sch. 4 para. 26(4) in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I55Sch. 4 para. 27 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I56Sch. 4 para. 27 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I57Sch. 4 para. 28 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I58Sch. 4 para. 28 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
PART 4 E+W+S+N.I.Amendments of Part 13 of FSMA 2000: Powers of intervention
I59Sch. 4 para. 29 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I60Sch. 4 para. 29 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I61Sch. 4 para. 30 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I62Sch. 4 para. 30 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
31In section 193 (interpretation of Part 13), in subsection (1), in the definition of “power of intervention”, for “the Authority” substitute “ the FCA or the PRA ”.E+W+S+N.I.
I63Sch. 4 para. 31 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I64Sch. 4 para. 31 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
32(1)Section 194 (general grounds on which power of intervention is exercisable) is amended as follows.E+W+S+N.I.
I65Sch. 4 para. 32 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I66Sch. 4 para. 32 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I67Sch. 4 para. 33 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I68Sch. 4 para. 33 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I69Sch. 4 para. 34 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I70Sch. 4 para. 34 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I71Sch. 4 para. 35 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I72Sch. 4 para. 35 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I73Sch. 4 para. 36 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I74Sch. 4 para. 36 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
37(1)Section 197 (procedure on exercise of power of intervention) is amended as follows.E+W+S+N.I.
(2)In subsection (2), for “Authority” substitute “ regulator ”.
(3)In subsection (3), for “the Authority” substitute “ a regulator ”.
(b)in paragraph (d), for “Authority” substitute “ regulator ”.
(5)In subsections (5) to (7), for “Authority”, in each place, substitute “ regulator ”.
I75Sch. 4 para. 37 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I76Sch. 4 para. 37 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
38(1)Section 198 (power to apply to court for injunction in respect of certain overseas insurance companies) is amended as follows.E+W+S+N.I.
(2)In subsections (1) to (3), for “Authority”, in each place, substitute “ appropriate regulator ”.
I77Sch. 4 para. 38 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I78Sch. 4 para. 38 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
39(1)Section 199 (additional procedure for EEA firms in certain cases) is amended as follows.E+W+S+N.I.
(3)In subsection (2)(a)(i), for “the Authority” substitute “ that regulator ”.
(4)In subsections (3) to (11), for “the Authority” substitute “ the regulator ”.
I79Sch. 4 para. 39 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I80Sch. 4 para. 39 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
40(1)Section 199A (management companies: loss of authorisation) is amended as follows.E+W+S+N.I.
(2)In subsection (2), for “Authority”, in both places, substitute “ appropriate regulator ”.
I81Sch. 4 para. 40 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I82Sch. 4 para. 40 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I83Sch. 4 para. 41 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I84Sch. 4 para. 41 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I85Sch. 4 para. 42 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I86Sch. 4 para. 42 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I87Sch. 4 para. 43 in force at 27.2.2013 for specified purposes by S.I. 2013/423, art. 2
I88Sch. 4 para. 43 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.