# The Financial Services and Markets Act 2000 ( EEA Passport Rights) Regulations 2001, Regulation 5A: Investment firms: changes to services


(1) An investment firm which is providing services in the United Kingdom in exercise of an EEA right must not—
(a) make a change in any of the matters referred to in regulation 3(2)(b),
(b) use, for the first time, any tied agent to provide services in the United Kingdom, or
(c) cease to use tied agents to provide services in the United Kingdom,
unless the requirements of paragraph (3) have been complied with.
(2) Where those requirements have been complied with, the firm’s permission is to be treated as varied accordingly.
(3) The requirements are that—
(a) the firm has given a notice to its home state regulator stating the details of the proposed change, and
(b) the period of one month beginning with the day on which the firm gave the notice has elapsed.
(4) Paragraph (1) does not apply to a change occasioned by circumstances beyond the firm’s control.

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Source: https://www.legislation.gov.uk/uksi/2001/2511/regulation/5A (the official version)
Page: https://openlegislation.uk/financial-services-and-markets-act-2000-eea-passport-rights-regulations-2001/regulation-5A
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.