{ "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001", "json_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001.json", "id": "uksi/2001/544", "title": "The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001", "short_title": "Financial Services and Markets Act 2000 (Regulated Activities) 2001", "long_title": "This Order specifies kinds of activities and investments for the purposes of the Financial Services and Markets Act 2000 (“the Act\"). When an activity of a specified kind is carried on by way of business in relation to an investment of a specified kind, it is a “regulated activity\" for the purposes of the Act. The Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001 (S.I. 2001/1177) makes provision as to the circumstances in which a person is, or is not, to be regarded as carrying on a regulated activity by way of business. Section 19 of the Act prohibits person who are not authorised or exempt from carrying on any regulated activity in the United Kingdom. Contravention of that prohibition is a criminal offence.", "citation": "S.I. 2001/544", "type": "uksi", "year": "2001", "number": "544", "version": "current", "date": "2001-02-26", "revised": true, "valid_from": "2026-07-15", "extent": "E+W+S+N.I.", "unapplied_effects": 12, "provisions": [ { "path": "introduction", "kind": "introduction", "number": null, "heading": "Introductory text", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/introduction", "extent": null, "status": null, "parent": null }, { "path": "part/I", "kind": "part", "number": "I", "heading": "GENERAL", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "article/1", "kind": "article", "number": "1", "heading": "Citation", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-1", "extent": null, "status": null, "parent": "part/I" }, { "path": "article/2", "kind": "article", "number": "2", "heading": "Commencement", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-2", "extent": "E+W+S+N.I.", "status": null, "parent": "part/I" }, { "path": "article/3", "kind": "article", "number": "3", "heading": "Interpretation", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-3", "extent": "E+W+S+N.I.", "status": null, "parent": "part/I" }, { "path": "part/II", "kind": "part", "number": "II", "heading": "SPECIFIED ACTIVITIES", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "part/II/chapter/I", "kind": "chapter", "number": "I", "heading": "General", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/II" }, { "path": "article/4", "kind": "article", "number": "4", "heading": "Specified activities: general", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-4", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/I" }, { "path": "part/II/chapter/II", "kind": "chapter", "number": "II", "heading": "Accepting Deposits", "url": null, "extent": null, "status": null, "parent": "part/II" }, { "path": "part/II/chapter/II/crossheading/the-activity", "kind": "crossheading", "number": null, "heading": "The activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/II" }, { "path": "article/5", "kind": "article", "number": "5", "heading": "Accepting deposits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-5", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/the-activity" }, { "path": "part/II/chapter/II/crossheading/exclusions", "kind": "crossheading", "number": null, "heading": "Exclusions", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II" }, { "path": "article/6", "kind": "article", "number": "6", "heading": "Sums paid by certain persons", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-6", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/7", "kind": "article", "number": "7", "heading": "Sums received by solicitors etc.", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-7", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/8", "kind": "article", "number": "8", "heading": "Sums received by persons authorised to deal etc.", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-8", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9", "kind": "article", "number": "9", "heading": "Sums received in consideration for the issue of debt securities", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9A", "kind": "article", "number": "9A", "heading": "Sums received in exchange for electronic money", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9A", "extent": null, "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9AZA", "kind": "article", "number": "9AZA", "heading": "Sums in exchange for qualifying stablecoin", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9AZA", "extent": null, "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9AA", "kind": "article", "number": "9AA", "heading": "...Managers of UCITS and AIFs", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9AA", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9AB", "kind": "article", "number": "9AB", "heading": "Funds received for payment services", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9AB", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "article/9AC", "kind": "article", "number": "9AC", "heading": "Local authorities", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9AC", "extent": null, "status": null, "parent": "part/II/chapter/II/crossheading/exclusions" }, { "path": "part/II/chapter/IIA", "kind": "chapter", "number": "IIA", "heading": "ELECTRONIC MONEY", "url": null, "extent": null, "status": null, "parent": "part/II" }, { "path": "part/II/chapter/IIA/crossheading/the-activity", "kind": "crossheading", "number": null, "heading": "The activity", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA" }, { "path": "article/9B", "kind": "article", "number": "9B", "heading": "Issuing electronic money", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9B", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/the-activity" }, { "path": "article/9BA", "kind": "article", "number": "9BA", "heading": null, "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9BA", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/the-activity" }, { "path": "part/II/chapter/IIA/crossheading/exclusions", "kind": "crossheading", "number": null, "heading": "Exclusions", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/IIA" }, { "path": "article/9C", "kind": "article", "number": "9C", "heading": "Persons certified as small issuers etc.", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9C", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/exclusions" }, { "path": "article/9D", "kind": "article", "number": "9D", "heading": "Applications for certificates", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9D", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/exclusions" }, { "path": "article/9E", "kind": "article", "number": "9E", "heading": "Revocation of certificate on FCA’s own initiative", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9E", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/exclusions" }, { "path": "article/9F", "kind": "article", "number": "9F", "heading": "Revocation of certificate on request", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9F", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/exclusions" }, { "path": "article/9G", "kind": "article", "number": "9G", "heading": "Obtaining information from certified persons etc.", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9G", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/exclusions" }, { "path": "part/II/chapter/IIA/crossheading/supplemental", "kind": "crossheading", "number": null, "heading": "Supplemental", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA" }, { "path": "article/9H", "kind": "article", "number": "9H", "heading": "Rules prohibiting the issue of electronic money at a discount", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9H", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/supplemental" }, { "path": "article/9I", "kind": "article", "number": "9I", "heading": "False claims to be a certified person", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9I", "extent": null, "status": null, "parent": "part/II/chapter/IIA/crossheading/supplemental" }, { "path": "article/9J", "kind": "article", "number": "9J", "heading": "Exclusion of electronic money from the compensation scheme", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9J", "extent": null, "status": null, "parent": "part/II/chapter/IIA/crossheading/supplemental" }, { "path": "article/9K", "kind": "article", "number": "9K", "heading": "Record of certified persons", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9K", "extent": "E+W+S+N.I.", "status": null, "parent": "part/II/chapter/IIA/crossheading/supplemental" }, { "path": "article/9L", "kind": "article", "number": "9L", "heading": "Funds received for payment services", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9L", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/II/chapter/IIA/crossheading/supplemental" }, { "path": "part/II/chapter/2B", "kind": "chapter", "number": "2B", "heading": "Cryptoassets", "url": null, "extent": null, "status": null, "parent": "part/II" }, { "path": "part/II/chapter/2B/crossheading/issuing-qualifying-stablecoin-the-activity", "kind": "crossheading", "number": null, "heading": "Issuing qualifying stablecoin: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9M", "kind": "article", "number": "9M", "heading": "Issuing qualifying stablecoin", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9M", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/issuing-qualifying-stablecoin-the-activity" }, { "path": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-the-activities", "kind": "crossheading", "number": null, "heading": "Safeguarding of qualifying cryptoassets and specified investment cryptoassets: the activities", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9N", "kind": "article", "number": "9N", "heading": "Safeguarding of qualifying cryptoassets and relevant specified investment cryptoassets", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9N", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-the-activities" }, { "path": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-exclusions", "kind": "crossheading", "number": null, "heading": "Safeguarding of qualifying cryptoassets and specified investment cryptoassets: exclusions", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9O", "kind": "article", "number": "9O", "heading": "Article 9N exclusion: group activity", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9O", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-exclusions" }, { "path": "article/9P", "kind": "article", "number": "9P", "heading": "Article 9N exclusion:introductions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9P", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-exclusions" }, { "path": "article/9Q", "kind": "article", "number": "9Q", "heading": "Article 9N exclusion: temporary settlement arrangements", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Q", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-exclusions" }, { "path": "article/9R", "kind": "article", "number": "9R", "heading": "Article 9N exclusion: other exclusions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9R", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/safeguarding-of-qualifying-cryptoassets-and-specified-investment-cryptoassets-exclusions" }, { "path": "part/II/chapter/2B/crossheading/operating-a-qualifying-cryptoasset-trading-platform-the-activity", "kind": "crossheading", "number": null, "heading": "Operating a qualifying cryptoasset trading platform: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9S", "kind": "article", "number": "9S", "heading": "Operating a qualifying cryptoasset trading platform", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9S", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/operating-a-qualifying-cryptoasset-trading-platform-the-activity" }, { "path": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-principal-the-activity", "kind": "crossheading", "number": null, "heading": "Dealing in qualifying cryptoassets as principal: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9T", "kind": "article", "number": "9T", "heading": "Dealing in qualifying cryptoassets as principal", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9T", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-principal-the-activity" }, { "path": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-principal-exclusions", "kind": "crossheading", "number": null, "heading": "Dealing in qualifying cryptoassets as principal: exclusions", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9U", "kind": "article", "number": "9U", "heading": "Article 9T exclusion:absence of holding out etc.", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9U", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-principal-exclusions" }, { "path": "article/9V", "kind": "article", "number": "9V", "heading": "Article 9T exclusion: other exclusions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9V", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-principal-exclusions" }, { "path": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-agent-the-activity", "kind": "crossheading", "number": null, "heading": "Dealing in qualifying cryptoassets as agent: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9W", "kind": "article", "number": "9W", "heading": "Dealing in qualifying cryptoassets as agent", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9W", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-agent-the-activity" }, { "path": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-agent-exclusions", "kind": "crossheading", "number": null, "heading": "Dealing in qualifying cryptoassets as agent: exclusions", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9X", "kind": "article", "number": "9X", "heading": "Article 9W: exclusions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9X", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/dealing-in-qualifying-cryptoassets-as-agent-exclusions" }, { "path": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-the-activity", "kind": "crossheading", "number": null, "heading": "Arranging deals in qualifying cryptoassets: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9Y", "kind": "article", "number": "9Y", "heading": "Arranging deals in qualifying cryptoassets", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Y", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-the-activity" }, { "path": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions", "kind": "crossheading", "number": null, "heading": "Arranging deals in qualifying cryptoassets: exclusions", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9Z", "kind": "article", "number": "9Z", "heading": "Article 9Y exclusion: arrangements not causing a deal", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "article/9Z1", "kind": "article", "number": "9Z1", "heading": "Article 9Y exclusion: introducing", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z1", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "article/9Z2", "kind": "article", "number": "9Z2", "heading": "Article 9Y exclusion: enabling parties to communicate", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z2", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "article/9Z3", "kind": "article", "number": "9Z3", "heading": "Article 9Y exclusion: arranging transactions to which the arranger is a party", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z3", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "article/9Z4", "kind": "article", "number": "9Z4", "heading": "Article 9Y exclusion: trustees, nominees and personal representatives", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z4", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "article/9Z5", "kind": "article", "number": "9Z5", "heading": "Article 9Y: other exclusions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-regulated-activities-order-2001/article-9Z5", "extent": null, "status": null, "parent": "part/II/chapter/2B/crossheading/arranging-deals-in-qualifying-cryptoassets-exclusions" }, { "path": "part/II/chapter/2B/crossheading/qualifying-cryptoasset-staking-the-activity", "kind": "crossheading", "number": null, "heading": "Qualifying cryptoasset staking: the activity", "url": null, "extent": null, "status": null, "parent": "part/II/chapter/2B" }, { "path": "article/9Z6", "kind": "article", "number": "9Z6", 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