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Regulated activities—exclusions and exemptions

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Most recent Regulated activities—exclusions and exemptions content

Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 17th Sep
Practice notes

Exclusions and exemptions relating to the general prohibition—an introduction

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16th Sep
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Regulated activities—exempt persons

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Practice notes

Exclusions applying to several specified kinds of activity

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Practice notes

Exclusions applying to specified activities relating to insurance

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Practice notes

Tied agents

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Q&As

Assuming the 'group exemption' applies under the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544, Art 69(9), in respect of a UK Co providing investment advice to a Limited Partnership, will the exemption be affected or diminished by the fact that the Limited Partnership is governed by a General Corporate Partner?

Assuming the 'group exemption' applies under the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544, Art 69(9), in...
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11th Aug
Q&As

Would lending to an individual where the loan is secured by a second charge be viewed as a regulated activity? Would a person carrying on this activity be able to rely on an exemption?

Would lending to an individual where the loan is secured by a second charge be viewed as a regulated activity? Would a person carrying on this...
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11th Aug
Q&As

An individual is proposing to loan £500,000 to a residential developer secured by a legal charge over one of the plots. A company solely owned by the individual is also proposing to make a loan of the same amount secured by a charge over a plot in similar fashion. Is either charge affected or restricted in any way by legislation relating consumer credit or regulated mortgage contracts?

An individual is proposing to loan £500,000 to a residential developer secured by a legal charge over one of the plots. A company solely owned by the...
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11th Aug
Q&As

What does ‘group’ mean in the context of Article 69 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544 and how would this definition apply where a potential grouping of entities includes a limited liability company and a limited partnership?

What does ‘group’ mean in the context of Article 69 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544 and...
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11th Aug

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