GEN Sch 4 Powers exercised
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The following powers and related provisions in or under the Act have been exercised by the FSA to make the rules in GEN: |
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Section 59 (Approval for particular arrangements) |
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Section 118(8) (Market abuse) |
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Section 136(2) (Funding of the legal assistance scheme) |
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Section 138 (General rule-making power) |
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Section 139 (Miscellaneous ancillary matters) |
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Section 140 (Restrictions on managers of authorised unit trust schemes) |
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Section 141 (Insurance business rules) |
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Section 142(2) (Insurance business: regulations supplementing Authority's rules) |
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Section 143 (Endorsement of codes etc) |
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Section 144 (Price stabilising rules) |
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Section 145 (Financial promotion rules) |
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Section 146 (Money laundering rules) |
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Section 147 (Control of information rules) |
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Section 149 (Evidential provisions) |
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Section 150(2) (Actions for damages) |
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Section 156 (General supplementary powers) |
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Section 158A (Guidance on outsourcing by investment firms and credit institutions)6 |
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Section 213 (The compensation scheme) |
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Section 214 (General) |
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Section 215 (Rights of the scheme in relevant person's insolvency) |
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Section 216 (Continuity of long-term insurance policies) |
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Section 217 (Insurers in financial difficulties) |
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Section 218(2)(b) (Annual report) |
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Section 223(1) (Management expenses) |
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Section 226 (Compulsory jurisdiction) |
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Section 229 (Awards) |
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Section 234 (Industry funding) |
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Section 238(5) (Restrictions on promotion) |
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Section 239 (Single property schemes) |
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Section 247 (Trust scheme rules) |
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Section 248 (Scheme particulars rules) |
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Section 278 (Rules as to scheme particulars) |
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Section 283(1) (Facilities and information in the United Kingdom) |
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Section 293 (Notification requirements) |
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Section 295(3) (Notification: overseas investment exchanges and overseas clearing houses) |
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Section 322 (Rules applicable to former underwriting members) |
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Section 332(1) (Rules in relation to persons to whom the general prohibition does not apply) |
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Section 340 (Appointment) |
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Paragraph 17 of Schedule 1 (The Financial Services Authority: Fees) |
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Paragraph 19 of Schedule 3 (EEA Passport Rights: Establishment) |
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Paragraph 20 of Schedule 3 (EEA Passport Rights: Services) |
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Paragraph 7(3) of Schedule 17 (The Ombudsman Scheme: Annual reports) |
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Paragraph 13 of Schedule 17 (Authority's procedural rules) |
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Regulation 6(1) of the OEIC Regulations (FSA rules) |
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1Article 15 of The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI 2001/2326) |
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1The following articles of the Financial Services and Markets Act 2000 (Transitional Provisions, Repeals and Savings) (Financial Services Compensation Scheme) Order 2001 (SI 2001/2967): |
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1articles 4(3) and 4(4) (Pending applications); |
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1article 6(2) (Post-commencement applications); |
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1articles 9(3) and 9(4) (Article 9 defaults occurring before commencement); |
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1article 10(2) (Applications in respect of compulsory liability insurance); |
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1article 12(3) (Applications under the new scheme); |
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1article 23 (Record keeping and reporting requirements relating to pre-commencement acts). |
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2article 15 of the Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001 (SI 2001/2507) |
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The following powers and related provisions in the Act have been exercised by the FSA to issue the parts of the codes in GEN: |
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Section 64(2) (Conduct: statements and codes) |
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Section 119 (The Code) |
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Section 120 (Provisions included in the Authority's code by reference to the City Code). |
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The following powers in the Act have been exercised by the FSA to issue the parts of the statements in GEN: |
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Section 64 (1) (Conduct: statements and codes) |
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Section 69 (Statement of policy)including as applied by paragraph 1 of Schedule 5 to the Payment Services Regulations, |
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Section 124 (Statement of policy) |
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Section 169(9) (Investigations etc in support of overseas regulator), including as applied by paragraph 3 of Schedule 5 to the Payment Services Regulations |
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Section 210 (Statements of policy), including as applied by regulation 86(6) of the Payment Services Regulations |
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Section 395(5) (The Authority's procedures), including as applied by paragraph 7 of Schedule 5 to the Payment Services Regulations. |
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The following powers and related provisions in or under the Act have been exercised by the FSA in GEN to direct, require or specify: |
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Section 51 (Applications under this Part) |
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Section 60 (Applications for approval) |
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Section 148(3) (Modification or waiver of rules) |
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Section 182 (Notification) |
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Section 242 (Applications for authorisation of unit trust schemes) |
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Section 250(4) and (5) (Modification or waiver of rules) |
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Section 270(6)(b) (Schemes authorised in designated countries or territories) |
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Section 274 (Application for recognition of individual schemes) |
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Section 287 (Application by an investment exchange) |
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Section 288 (Application by a clearing house) |
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Section 294(2) (Modification or waiver of rules) |
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Section 316 (Direction by Authority) |
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Section 317 (The core provisions) |
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Section 318 (Exercise of powers through Council) |
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Regulation 7(3) and (4) of the OEIC Regulations (Modification or waiver of FSA rules) |
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Regulation 12 of the OEIC Regulations (Authorisation). |
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article 9D of the Regulated Activities Order (Applications for certificates) |
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article 9F of the Regulated Activities Order (Revocation of the certificate on request) |
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The following power in the Act has been exercised by the FSA to make the part of the complaints scheme in GEN: |
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Paragraph 7 of Schedule 1 (Arrangements for the investigation of complaints). |
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The following power in the Act has been exercised by the FSA to give the other guidance in GEN:The following powers have been exercised by the FSA to give the other guidance in GEN: |
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Section 157(1) (Guidance). |
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GEN 2.1.8 R is made by FOS Ltd in the exercise of its powers referred to in Schedule 4 to DISP |
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The following articles of the Financial Services and Markets Act 2000 (Transitional Provisions, Repeals and Savings) (Financial Services Compensation Scheme) Order 2001 (SI 2001/2967): |
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articles 4(3) and 4(4) (Pending applications); |
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article 6(2) (Post-commencement applications); |
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articles 9(3) and 9(4) (Article 9 defaults occuring before commencement); |
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article 10(2) (Applications in respect of compulsory liability insurance); |
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article 12(3) (Applications under the new scheme); |
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article 23 (Record keeping and reporting requirements relating to pre-commencement acts). |
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article 15 of the Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001 (SI 2001/2507) |
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The following articles of the Regulated Activities Order: |
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article 9G(1) (Obtaining information form certified persons) |
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article 9H(1) (Rules prohibiting the issue of electronic money at a discount) |
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4Regulation 3 of the Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (SI 2002/1775). |
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5Regulation 2 of the Financial Services and Markets Act 2000 (Fourth Motor Insurance Directive) Regulations 2002 (SI 2002/2706). |
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The following powers and related provisions in the Act have been exercised by the FSA to issue the parts of the codes in GEN: |
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Section 64(2) (Conduct: statements and codes) |
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Section 119 (The Code) |
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Section 120 (Provisions included in the Authority's code by reference to the City Code). |
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The following powers in the Act have been exercised by the FSA to issue the parts of the statements in GEN: |
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Section 64 (1) (Conduct: statements and codes) |
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Section 69 (Statement of policy) |
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Section 124 (Statement of policy) |
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Section 169(9) (Investigations etc in support of overseas regulator) |
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Section 210 (Statements of policy) |
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Section 395(5) (The Authority's procedures). |
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The following powers and related provisions in or under the Act have been exercised by the FSA in GEN specify: |
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Section 51 (Applications under this Part) |
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Section 60 (Applications for approval) |
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Section 148(3) (Modification or waiver of rules) |
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Section 182 (Notification) |
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Section 242 (Applications for authorisation of unit trust schemes) |
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Section 250(4) and (5) (Modification or waiver of rules) |
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Section 270(6)(b) (Schemes authorised in designated countries or territories) |
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Section 274 (Application for recognition of individual schemes) |
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Section 287 (Application by an investment exchange) |
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Section 288 (Application by a clearing house) |
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Section 294(2) (Modification or waiver of rules) |
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Section 316 (Direction by Authority) |
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Section 317 (The core provisions) |
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Section 318 (Exercise of powers through Council) |
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Regulation 7(3) and (4) of the OEIC Regulations (Modification or waiver of FSA rules) |
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Regulation 12 of the OEIC Regulations (Authorisation). |
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3 article 9D of the Regulated Activities Order (Applications for certificates) |
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article 9F of the Regulated Activities Order (Revocation of the certificate on request) |
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The following power in the ActFSA to make the part of the complaints scheme in GEN: |
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Paragraph 7 of Schedule 1 (Arrangements for the investigation of complaints). |
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The following power in the Act has been exercised by the FSA to give the other guidance in GEN: |
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Section 157(1) (Guidance). |
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1 GEN 2.1.8 R is made by FOS Ltd in the exercise of its powers referred to in Schedule 4 to DISP. |
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