Source: http://www.legislation.gov.uk/ukpga/2000/8/section/417/2012-10-01
Timestamp: 2019-04-25 07:06:34
Document Index: 14582837

Matched Legal Cases: ['art 18', 'art 6', 'art. 2', 'art. 2', 'art. 10', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 7']

Point in time view as at 01/10/2012. This version of this provision has been superseded.
417 Definitions.E+W+S+N.I.
[F1 “ claim ”, in relation to the Financial Services Compensation Scheme under Part XV, is to be construed in accordance with section 214(1B);
“ collective investment scheme ” has the meaning given in section 235;
“ the Commission ” means the European Commission (except in provisions relating to the Competition Commission);
“ the compensation scheme ” has the meaning given in section 213(2);
“ control of information rules ” has the meaning given in section 147(1);
“ director ”, in relation to a body corporate, includes—
“ documents ” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include references to producing a copy of the information in legible form [F2 , or in a form from which it can readily be produced in visible and legible form ] ;
[F3 “ EBA ” means the European Banking Authority established by Regulation ( EU ) No. 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority ); ]
[F4 “electronic commerce directive” means Directive 2000/31/ EC of the European Parliament and the Council of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (Directive on electronic commerce);
[F5 “ ESMA ” means the European Securities and Markets Authority established by Regulation ( EU ) No. 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority); ]
“ exempt person ”, in relation to a regulated activity, means a person who is exempt from the general prohibition in relation to that activity as a result of an exemption order made under section 38(1) or as a result of section 39(1) or 285(2) or (3);
“ financial promotion rules ” means rules made under section 145;
“ friendly society ” means an incorporated or registered friendly society;
“ general prohibition ” has the meaning given in section 19(2);
“ general rules ” has the meaning given in section 138(2);
“ incorporated friendly society ” means a society incorporated under the M1 Friendly Societies Act 1992;
“ industrial and provident society ” means a society registered or deemed to be registered under the M2 Industrial and Provident Societies Act 1965 or the M3 Industrial and Provident Societies Act (Northern Ireland) 1969;
[F6 “ information society service ” means an information society service within the meaning of Article 2(a) of the electronic commerce directive;
[F7 “ investment services and activities ” has the meaning given in Article 4.1.2 of the markets in financial instruments directive, read with—
Chapter VI of Commission Regulation 1287/2006 of 10 August 2006, F8...
Article 52 of Commission Directive 2006/73/ EC of 10 August 2006; [F9 and ]
[F9Article 6(5) of the emission allowance auctioning regulation;]
“ market abuse ” has the meaning given in section 118;
“ Minister of the Crown ” has the same meaning as in the Ministers of the Crown Act 1975;
“ money laundering rules ” means rules made under section 146;
“ notice of control ” [F10 (except in Chapter 1A of Part 18) ] has the meaning given in section 178(5);
“ the ombudsman scheme ” has the meaning given in section 225(3);
“ open-ended investment company ” has the meaning given in section 236;
“ Part IV permission ” has the meaning given in section 40(4);
“ partnership ” includes a partnership constituted under the law of a country or territory outside the United Kingdom;
“ prescribed ” (where not otherwise defined) means prescribed in regulations made by the Treasury;
“ price stabilising rules ” means rules made under section 144;
“ private company ” has [F11 the same meaning as in the Companies Acts (see section 4 of the Companies Act 2006) ] ;
“ prohibition order ” has the meaning given in section 56(2);
“ recognised clearing house ” and “ recognised investment exchange ” have the meaning given in section 285;
“ registered friendly society ” means a society which is—
a friendly society within the meaning of section 7(1)(a) of the M4 Friendly Societies Act 1974; and
“ regulated activity ” has the meaning given in section 22;
“ regulating provisions ” has the meaning given in section 159(1);
“ regulatory objectives ” means the objectives mentioned in section 2;
“ regulatory provisions ” has the meaning given in section 302;
“ rule ” means a rule made by the Authority under this Act;
“ rule-making instrument ” has the meaning given in section 153;
“ the scheme manager ” has the meaning given in section 212(1);
“ the scheme operator ” has the meaning given in section 225(2);
“ scheme particulars rules ” has the meaning given in section 248(1);
“ Seventh Company Law Directive ” means the European Council Seventh Company Law Directive of 13 June 1983 on consolidated accounts ( No. 83/349/ EEC );
[F12 “ Takeovers Directive ” means Directive 2004/25/ EC of the European Parliament and of the Council;
“ threshold conditions ”, in relation to a regulated activity, has the meaning given in section 41;
“ the Treaty ” means [F13the Treaty on the Functioning of the European Union];
[F14 “ the Tribunal ”means the Upper Tribunal; ]
“ trust scheme rules ” has the meaning given in section 247(1);
“ UK authorised person ” has the meaning given in section 178(4);
[F15 “ the UK financial system ” has the meaning given in section 3; ] and
“ unit trust scheme ” has the meaning given in section 237.
(3)For the purposes of any provision of this Act [F16(other than a provision of Part 6)] authorising or requiring a person to do anything within a specified number of days no account is to be taken of any day which is a public holiday in any part of the United Kingdom.
[F17(4)For the purposes of this Act—
(b) an establishment, in connection with an information society service, is the place at which the provider of the service (being a national of an EEA State or a company or firm as mentioned in [F18Article 54] of the Treaty) effectively pursues an economic activity for an indefinite period;
(d)where it cannot be determined from which of a number of establishments a given information society service is provided, that service is to be regarded as provided from the establishment where the provider has the centre of his activities relating to the service.]]]]]]
F1S. 417(1): definition of "claim" inserted (17.2.2009 for certain purposes and 21.2.2009 otherwise) by Banking Act 2009 (c. 1), ss. 174(2), 263(1) (with s. 247); S.I. 2009/296, arts. 2, 3, Sch. para. 4
F2S. 417(1): words in definition of "documents" inserted (1.4.2003) by 2001 c. 16, ss. 70, 138(2), Sch. 2 Pt. 2 para. 16(2)(f); S.I. 2003/708, art. 2(c)(k)
F3Words in s. 417(1) inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 2(14)(a)
F4S. 417: definition of "electronic commerce directive" inserted (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 13(2)(a)
F5Words in s. 417(1) inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 2(14)(b)
F6S. 417: definition of "information society service" inserted (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 13(2)(b)
F7S. 417(1): definition of "investment services and activities" inserted (1.4.2007 for certain purposes and 1.11.2007 otherwise) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), regs. 1(2), 3(5), Sch. 5 para. 19(a)
F8Word in s. 417(1) omitted (20.7.2012) by virtue of The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2012 (S.I. 2012/1906), arts. 1, 3(14)(a)
F9Words in s. 417(1) inserted (20.7.2012) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2012 (S.I. 2012/1906), arts. 1, 3(14)(b)
F10S. 417(1): words in definition of "notice of control" inserted (1.4.2007 for certain purposes and 1.11.2007 otherwise) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), regs. 1(2), 3(5), Sch. 5 para. 19(b)
F11S. 417(1): words in definition of "private company" substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 2(1), Sch. 1 para. 181(4) (with art. 10)
F12S. 417(1): definition inserted (6.4.2007) by Companies Act 2006 (c. 46), ss. 964(6), 1300(2); S.I. 2007/1093, art. 2(1)(b) (with arts. 4, 11)
F13Words in s. 417(1) substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 1 (with art. 2(2))
F14S. 417: definition of "the Tribunal" inserted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), arts. 1(2)(e), 5(1), Sch. 2 para. 48
F15S. 417(1): definition of "the UK financial system" inserted (8.4.2010) by Financial Services Act 2010 (c. 28), ss. 24(1), 26(1)(l), Sch. 2 para. 31
F16Words in s. 417(3) inserted (1.7.2005) by The Prospectus Regulations 2005 (S.I. 2005/1433), reg. 2(1), Sch. 1 para. 15
F17S. 417(4) inserted (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 13(2)(c)
F18Words in s. 417(4)(b) substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 1 (with art. 2(2))
C3S. 417(1) modified (30.3.2009 at 8.00 a.m.) by The Amendments to Law (Resolution of Dunfermline Building Society) Order 2009 (S.I. 2009/814), art. 7(2)-(4)
M41992 c. 40.