# The Financial Services and Markets Act 2000 ( EEA Passport Rights) Regulations 2001, Regulation 3: Provision of services: contents of regulator’s notice

Extent: E+W+S+N.I.

(1) The following information is prescribed for the purposes of paragraph 14(1)(b) of Schedule 3 (and is therefore to be included in a regulator’s notice given to the appropriate UK regulator within the meaning of that paragraph by a firm’s home state regulator pursuant to that paragraph).
(2) Subject to paragraph (2ZA), in the case of an investment firm, the prescribed information is—
(a) a statement that the firm is an investment firm; ...
(b) particulars of the programme of operations to be carried on in the United Kingdom, including a description of the particular EEA activities to be carried on ; and
(c) a statement of whether the firm intends to use a tied agent to provide services in the United Kingdom
(2ZA) In the case of an investment firm exercising the right under Article 34.6 of the markets in financial instruments directive, the prescribed information is—
(a) a statement that the firm is an investment firm; and
(b) a statement that the firm intends to exercise that right in the United Kingdom.
(2A) In the case of a management company, the prescribed information is—
(a) a statement that the firm is a management company;
(b) particulars of the programme of operations to be carried on in the United Kingdom including a description of the particular EEA activities to be carried on; and
(c) details of any compensation scheme which is intended to protect investors.
(3) In the case of an insurance firm, the prescribed information is—
(a) a statement of the classes of business which the firm is authorised to carry on in accordance with Article 14 of the Solvency 2 Directive;
(b) the name and address of the firm;
(c) the nature of the risks or commitments which the firm proposes to cover in the United Kingdom;
(d) in the case of a firm which intends to cover relevant motor vehicle risks—
(i) the name and address of the claims representative; and
(ii) a declaration by the firm that it has become a member of the Motor Insurers' Bureau; and
(e) a statement by the firm’s home state regulator attesting that the firm ... covers the Solvency Capital Requirement calculated in accordance with Article 100 of the Solvency 2 Directive and the minimum capital requirement calculated in accordance with Article 129 of that directive.
(4) In the case of an insurance intermediary, the prescribed information is—
(a) a statement that the firm is an insurance intermediary;
(b) the firm’s name, address and where applicable, its registration number;
(c) the category of intermediary and if applicable, the name of any insurance or reinsurance undertaking represented;
(d) the Member State or Member States in which the intermediary intends to operate; and
(e) particulars of the services to be carried on including, if applicable, the relevant classes of insurance.
(5) In the case of an EEA AIFM, the prescribed information is—
(a) a statement that the firm is an EEA AIFM;
(b) if the EEA AIFM wishes to manage an AIF in the United Kingdom—
(i) particulars of the programme of operations to be carried on in the United Kingdom, including a description of the particular EEA activities to be carried on; and
(ii) the identity of the AIFs that the EEA AIFM intends to manage; and
(c) if the EEA AIFM wishes to market an AIF in the United Kingdom—
(i) the documents and information set out in Annex IV to the alternative investment fund managers directive; and
(ii) a statement to the effect that the AIFM concerned is authorised to manage AIFs with a particular management strategy.
(6) In the case of an EEA mortgage intermediary, the prescribed information is—
(a) a statement that the firm is an EEA mortgage intermediary;
(b) particulars of the services to be carried on in the United Kingdom;
(c) whether the EEA mortgage intermediary is a tied mortgage intermediary;
(d) the name and address of the mortgage creditors (if any) to which the EEA mortgage intermediary is tied; and
(e) whether those mortgage creditors (if any) take full and unconditional responsibility for the activities of the EEA mortgage intermediary.

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Source: https://www.legislation.gov.uk/uksi/2001/2511/regulation/3 (the official version)
Page: https://openlegislation.uk/financial-services-and-markets-act-2000-eea-passport-rights-regulations-2001/regulation-3
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.