# The Packaged Retail and Insurance-based Investment Products Regulations 2017 (revoked) S.I. 2017/1127 · made 4 December 2017 · revised to 6 April 2026 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PDFs: Printed copy https://openlegislation.uk/packaged-retail-and-insurance-based-investment-products-regulations-2017-revoked/pdf/uksi_20171127_en.pdf; UK Explanatory Memorandum https://openlegislation.uk/packaged-retail-and-insurance-based-investment-products-regulations-2017-revoked/pdf/uksiem_20171127_en.pdf ## Introductory text Financial Services And Markets Made 4th December 2017 Laid before Parliament 5th December 2017 Coming into force 1st January 2018 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1 Citation and commencement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Designation of competent authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Prohibitions and suspensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Revocation or variation of order under regulation 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 Administrative penalties and statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Requirement to notify retail investor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 Right to refer a matter to the Tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Sanctions under regulation 4: procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 Sanctions under regulation 6: procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 Application of the Financial Services and Markets Act 2000 and secondary legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12 Minor and consequential amendments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13 Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Schedule 1: Application and modification of the Financial Services and Markets Act 2000 and secondary legislation ## 1 The Tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Information gathering and investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Statements of policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Restrictions on disclosure of information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Injunctions and restitution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 Notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Offences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 Limitation on powers to require documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Penalties and fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 Exemption from liability in damages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12 The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Schedule 2: Minor and consequential amendments to primary and secondary legislation ## 1 The Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 The Public Interest Disclosure (Prescribed Persons) Order (Northern Ireland) 1999 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemption) Order 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 The Payment to Treasury of Penalties (Enforcement Costs) Order 2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 The Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 The Financial Services Act 2012 (Relevant Functions in relation to Complaints Scheme) Order 2014 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 The Public Interest Disclosure (Prescribed Persons) Order 2014 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Explanatory note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . --- Source: https://www.legislation.gov.uk/uksi/2017/1127 (the official version) Page: https://openlegislation.uk/packaged-retail-and-insurance-based-investment-products-regulations-2017-revoked Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.