{
  "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-commencement-no-3-order-2001/schedule",
  "json_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-commencement-no-3-order-2001/schedule.json",
  "legislation": "uksi/2001/1820",
  "legislation_title": "The Financial Services and Markets Act 2000 (Commencement No. 3) Order 2001",
  "legislation_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-commencement-no-3-order-2001",
  "path": "schedule",
  "kind": "schedule",
  "number": null,
  "heading": "Provisions coming into force on 18th June 2001",
  "text": "Section 1 (the Financial Services Authority)\nSections 2 to 11 (the Authority’s general duties and regulatory objectives etc.)\nSections 31(1)(b) (EEA firms) and 37 (exercise of EEA rights by UK firms), for the purpose of introducing Schedule 3 (to the extent brought into force by this Order)\nSection 51 (applications under Part IV), for the purpose of giving directions or imposing requirements as mentioned in subsection (3)\nSection 59 (approval for particular arrangements), for the purpose of making rules\nSection 60 (applications for approval), for the purpose of giving directions or imposing requirements as mentioned in subsection (2) or (4)\nSections 64 and 65 (conduct: statements and codes)\nSections 69 and 70 (penalties: statement of policy)\nSection 72 (official listing: the competent authority)\nSection 73 (general duty of the competent authority)\nSubsections (4) and (5) of section 74 (the official list)\nSubsection (1) of section 75 (applications for listing), for the purpose of making listing rules\nSubsections (1), (2) and (4) of section 77 (discontinuation and suspension), for the purpose of making listing rules\nSection 79 (listing particulars and other documents), so far as not already in force\nSubsections (1) and (5) of section 81 (supplementary listing particulars), for the purpose of making listing rules\nSubsections (1), (5) and (7) of section 82 (exemptions from disclosure), for the purpose of making listing rules\nSection 84 (prospectuses)\nSection 87 (approval of prospectuses where no application for listing), so far as not already in force\nSubsections (1) to (3) of section 88, and subsection (1) of section 89 (sponsors)\nSections 93 and 94 (penalties: statement of policy)\nSection 96 (obligations of issuers of listed securities)\nSubsection (1) of section 98 (advertisements etc. in connection with listing applications), for the purpose of making listing rules\nSection 99 (fees)\nSection 100 (penalties)\nSection 101 (listing rules: general provisions)\nSection 102 (exemption from liability in damages)\nSections 119 to 121 (market abuse: the code)\nSections 124 and 125 (penalties: statement of policy)\nSection 136 (funding of the legal assistance scheme), for the purpose of making rules\nSections 138 to 141 (powers to make rules)\nSection 143 (endorsement of codes etc.), for the purpose of making rules\nSection 144 (price stabilising rules), so far as not already in force\nSection 145 (financial promotion rules), so far as not already in force\nSection 146 (money laundering rules)\nSection 147 (control of information rules)\nSection 148 (modification or waiver of rules), for the purpose of giving directions as mentioned in subsection (3)\nSection 149 (contravention of rules: evidential provisions)\nSection 150 (actions for damages), for the purpose of making rules\nSections 152 to 156 (rules: procedural provisions)\nSections 157 and 158 (guidance)\nSections 159 to 164 (competition scrutiny)\nSection 169 (investigations etc. in support of overseas regulator), for the purpose of preparing a statement of policy as mentioned in subsection (9)\nSection 182 (acquiring or increasing control: notification), for the purpose of imposing requirements as mentioned in subsection (1)(b)\nSections 210 and 211 (penalties: statements of policy)\nSection 212 (the compensation scheme manager)\nSections 213 to 217 (the compensation scheme), so far as not already in force\nSection 218 (annual report of the scheme manager)\nSection 222 (statutory immunity)\nSection 223 (management expenses), for the purpose of fixing an amount by the scheme as mentioned in subsection (1)\nSection 225 (the ombudsman scheme and the scheme operator)\nSections 226 (compulsory jurisdiction), 227 (voluntary jurisdiction) and 229 (awards), for the purpose of the making of rules by the Authority and the scheme operator\nSection 230 (costs)\nSection 234 (funding)\nSection 238 (collective investment schemes: restrictions on promotion), for the purpose of making rules\nSection 239 (single property schemes), so far as not already in force\nSection 242 (applications for authorisation of unit trust schemes), for the purpose of giving directions or imposing requirements as mentioned in subsection (3)\nSection 247 (trust scheme rules)\nSection 248 (scheme particulars rules)\nSection 266 (disapplication of rules)\nSection 274 (applications for recognition of individual schemes), for the purpose of giving directions or imposing requirements as mentioned in subsection (2)\nSection 278 (schemes recognised under sections 270 and 272: rules as to scheme particulars)\nSubsection (1) of section 283 (facilities and information in UK)\nSection 287 (application by an investment exchange), for the purpose of giving directions or imposing requirements as mentioned in subsection (2)\nSection 288 (application by a clearing house), for the purpose of giving directions or imposing requirements as mentioned in subsection (2)\nSections 293 and 295 (notification requirements), for the purpose of making rules\nSection 294 (application by a recognised body for modification of rules), for the purpose of giving directions as mentioned in subsection (2)\nSection 299 (complaints about recognised bodies)\nSection 316 (direction in relation to members of Lloyd's), for the purpose of giving directions as mentioned in subsection (1) coming into force not sooner than the day on which section 19 of the Act comes into force\nSection 317 (the core provisions)\nSection 318 (exercise of powers through the Council), for the purpose of giving directions as mentioned in subsection (1) coming into force not sooner than the day on which section 19 of the Act comes into force\nSection 319 (consultation)\nSection 322 (rules applicable to former underwriting members), for the purpose of making rules coming into force not sooner than the day on which section 19 of the Act comes into force\nSection 323 (transfer schemes of business done at Lloyd's)\nSection 324 (interpretation of Part XIX)\nSection 332 (rules in relation to persons to whom the general prohibition does not apply)\nSection 340 (auditors and actuaries: appointment)\nSection 348 (restrictions on disclosure of confidential information)\nSection 349 (exceptions from section 348), so far as not already in force\nSubsections (3) and (7) of section 350 (disclosure of information by the Inland Revenue)\nSection 351 (competition information), so far as not already in force\nSection 352 (offences), for the purpose of any contravention of section 348\nSection 380 (injunctions)\nSection 382 (restitution orders)\nSection 395 (the Authority’s procedures)\nSection 396 (statements under section 395: consultation)\nSections 398 and 399 (misleading the Authority or the Director General)\nSection 400 (offences by bodies corporate etc.)\nSection 401 (institution of proceedings for offences)\nSection 403 (jurisdiction and procedure in respect of offences)\nSection 410 (international obligations)\nSection 414 (service of notices), so far as not already in force\nSection 415 (jurisdiction in civil proceedings)\nSchedule 1 (the Financial Services Authority), except for paragraphs 7 and 8\nSchedule 3 (EEA passport rights), for the purpose of making rules\nSchedule 7 (the Authority as competent authority for Part VI)\nSchedule 8 (transfer of functions under Part VI)\nSchedule 9 (non-listing prospectuses), so far as not already in force\nSchedule 14 (role of the Competition Commission)\nSchedule 17 (the ombudsman scheme)\nSchedule 19 (competition information), so far as not already in force",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "footnote",
      "label": "f1",
      "text": "Schedule 3 was amended by S.I. 2000/2952 and by S.I. 2001/1376."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/2001/1820/schedule",
    "retrieved_at": "2026-10-29T07:48:53.241796+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}