Introduction to regulated activities: the general prohibition

Resource type: Practice note: overview

Status: Maintained

Jurisdiction: United Kingdom

An introduction to the main provisions in and under the Financial Services and Markets Act 2000 (FSMA) that govern the regulation of financial services in the UK. In particular, this note considers the elements of the general prohibition against carrying on regulated activities in the UK without being authorised or exempt, including the definition of regulated activities, territorial scope and the main consequences of breaching the general prohibition.

PLC Financial Services

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Resource ID: 0-201-8611
Products: PLC UK Financial Services
This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.

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Topics

Regulated ActivitiesRegulated Activities (http://uk.practicallaw.com/2-201-5211)

Practice note: overview

A guide to PLC's materials on regulated activities A guide to PLC's materials on regulated activities (http://crossborder.practicallaw.com/topic6-505-5843)
Regulated Activities Order: overview Regulated Activities Order: overview (http://crossborder.practicallaw.com/topic6-202-3006)

Practice notes

Regulated Activities Order: exclusions Regulated Activities Order: exclusions (http://crossborder.practicallaw.com/topic9-505-1674)
Regulated Activities Order: specified activities Regulated Activities Order: specified activities (http://crossborder.practicallaw.com/topic8-505-1655)
Regulated Activities Order: specified investments Regulated Activities Order: specified investments (http://crossborder.practicallaw.com/topic8-505-1542)
Regulated activities: accepting deposits Regulated activities: accepting deposits (http://crossborder.practicallaw.com/topic0-201-9875)
Regulated activities: advising on investments Regulated activities: advising on investments (http://crossborder.practicallaw.com/topic6-202-0197)
Regulated activities: arranging deals in investments Regulated activities: arranging deals in investments (http://crossborder.practicallaw.com/topic2-201-8785)
Regulated activities: assisting in the administration and performance of a contract of insurance Regulated activities: assisting in the administration and performance of a contract of insurance (http://crossborder.practicallaw.com/topic9-203-1203)
Regulated activities: bidding in emissions auctions Regulated activities: bidding in emissions auctions (http://crossborder.practicallaw.com/topic0-521-8782)
Regulated activities: dealing in investments as principal and dealing in investments as agent Regulated activities: dealing in investments as principal and dealing in investments as agent (http://crossborder.practicallaw.com/topic0-201-9842)
Regulated activities: effecting and carrying out contracts of insurance as principal Regulated activities: effecting and carrying out contracts of insurance as principal (http://crossborder.practicallaw.com/topic7-203-1204)
Regulated activities: establishing, operating or winding up a collective investment scheme Regulated activities: establishing, operating or winding up a collective investment scheme (http://crossborder.practicallaw.com/topic1-203-1891)
Regulated activities: establishing, operating or winding up a stakeholder or personal pension scheme Regulated activities: establishing, operating or winding up a stakeholder or personal pension scheme (http://crossborder.practicallaw.com/topic5-218-1973)
Regulated activities: general exclusions Regulated activities: general exclusions (http://crossborder.practicallaw.com/topic3-202-1612)
Regulated activities: home reversion and home purchase plans Regulated activities: home reversion and home purchase plans (http://crossborder.practicallaw.com/topic9-220-5953)
Regulated activities: issuing electronic money Regulated activities: issuing electronic money (http://crossborder.practicallaw.com/topic9-201-9022)
Regulated activities: managing investments Regulated activities: managing investments (http://crossborder.practicallaw.com/topic8-201-9782)
Regulated activities: mortgage-related activities Regulated activities: mortgage-related activities (http://crossborder.practicallaw.com/topic7-202-4053)
Regulated activities: operating a multilateral trading facility (MTF) Regulated activities: operating a multilateral trading facility (MTF) (http://crossborder.practicallaw.com/topic9-376-4859)
Regulated activities: safeguarding and administering investments Regulated activities: safeguarding and administering investments (http://crossborder.practicallaw.com/topic9-202-0011)
Regulated activities: sale and rent back activities Regulated activities: sale and rent back activities (http://crossborder.practicallaw.com/topic8-503-2657)
Regulated activities: sending dematerialised instructions Regulated activities: sending dematerialised instructions (http://crossborder.practicallaw.com/topic4-203-1106)
Regulated activities: territorial scope Regulated activities: territorial scope (http://crossborder.practicallaw.com/topic4-505-8611)
Regulated activities: the business order Regulated activities: the business order (http://crossborder.practicallaw.com/topic7-201-8783)
What is a contract of insurance? What is a contract of insurance? (http://crossborder.practicallaw.com/topic9-504-7521)

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