{
  "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001",
  "json_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001.json",
  "id": "uksi/2001/996",
  "title": "The Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001",
  "short_title": "Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) 2001",
  "long_title": "Section 123 of the Financial Services and Markets Act 2000 (c. 8) (“the Act”) gives the Financial Services Authority power to impose penalties or publish statements in cases of market abuse. Section 118 of the Act defines market abuse as behaviour, meeting conditions set out in section 118(1) and (2), which occurs in relation to a qualifying investment traded on a market to which section 118 applies. This Order prescribes (in article 4) the markets to which section 118 applies, and (in article 5) the investments which are qualifying investments in relation to those markets.",
  "citation": "S.I. 2001/996",
  "type": "uksi",
  "year": "2001",
  "number": "996",
  "version": "current",
  "date": "2001-03-15",
  "revised": false,
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  "unapplied_effects": 12,
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      "heading": "Introductory text",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/introduction",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
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      "number": "1",
      "heading": "Citation",
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      "extent": null,
      "status": null,
      "parent": null
    },
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      "heading": "Commencement",
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      "extent": null,
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      "parent": null
    },
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      "heading": "Interpretation",
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      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "article/4",
      "kind": "article",
      "number": "4",
      "heading": "Prescribed markets",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/article-4",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "article/5",
      "kind": "article",
      "number": "5",
      "heading": "Qualifying investments",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/article-5",
      "extent": null,
      "status": null,
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    },
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      "heading": "Signature",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/signature",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "note",
      "kind": "note",
      "number": null,
      "heading": "Explanatory note",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/note",
      "extent": null,
      "status": null,
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    }
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      "language": null,
      "date": "2008-11-25",
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      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/pdf/uksi_20010996_en.pdf",
      "source_url": "https://www.legislation.gov.uk/uksi/2001/996/pdfs/uksi_20010996_en.pdf"
    }
  ],
  "outstanding_effects": [
    {
      "type": "added",
      "affected_provisions": "art 4A",
      "affecting": "uksi/2001/3681",
      "affecting_title": "The Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) (Amendment) Order 2001",
      "affecting_provisions": "art 2"
    },
    {
      "type": "words inserted",
      "affected_provisions": "art. 3",
      "affecting": "uksi/2005/381",
      "affecting_title": "The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2005",
      "affecting_provisions": "reg. 10(1)"
    },
    {
      "type": "substituted for arts. 4, 4A and 5",
      "affected_provisions": "art. 4-5",
      "affecting": "uksi/2005/381",
      "affecting_title": "The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2005",
      "affecting_provisions": "reg. 10(2)"
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    {
      "type": "words substituted",
      "affected_provisions": "art. 3",
      "affecting": "uksi/2007/126",
      "affecting_title": "The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007",
      "affecting_provisions": "Sch. 6 para. 15"
    },
    {
      "type": "words inserted",
      "affected_provisions": "art. 5",
      "affecting": "uksi/2008/3053",
      "affecting_title": "The Definition of Financial Instrument Order 2008",
      "affecting_provisions": "art. 4"
    },
    {
      "type": "inserted",
      "affected_provisions": "art. 5(2)(3)",
      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(4)(c)"
    },
    {
      "type": "words inserted",
      "affected_provisions": "art. 3",
      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(2)"
    },
    {
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      "affected_provisions": "art. 4 heading",
      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(3)(a)"
    },
    {
      "type": "inserted",
      "affected_provisions": "art. 4(3)-(5)",
      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(3)(b)"
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    {
      "type": "art. 5 renumbered as art. 5(1)",
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      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(4)(a)"
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    {
      "type": "words substituted",
      "affected_provisions": "art. 5(1)",
      "affecting": "uksi/2011/2699",
      "affecting_title": "The Recognised Auction Platforms Regulations 2011",
      "affecting_provisions": "reg. 10(4)(b)"
    },
    {
      "type": "revoked",
      "affected_provisions": "Order",
      "affecting": "uksi/2016/680",
      "affecting_title": "The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016",
      "affecting_provisions": "reg. 17"
    }
  ],
  "made_under": [
    {
      "id": "ukpga/2000/8",
      "title": "Financial Services and Markets Act 2000",
      "url": "https://openlegislation.uk/financial-services-and-markets-act-2000",
      "provisions": [
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    }
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  "instruments_made_under_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-prescribed-markets-and-qualifying-investments-order-2001/instruments.json",
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/2001/996",
    "retrieved_at": "2026-10-29T07:54:41.143994+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."
}