Transitional Provisions and Schedules
FINMAR Sch 1
Record keeping requirements
- 06/08/2010
FINMAR Sch 1.1
See Notes
| There are no record-keeping requirements in FINMAR. |
- 06/08/2010
FINMAR Sch 2
Notification requirements
- 06/08/2010
FINMAR Sch 2.1
See Notes
| There are no notification requirements in FINMAR. |
- 06/08/2010
FINMAR Sch 3
Fees and other required payments
- 06/08/2010
FINMAR Sch 3.1
See Notes
| There are no requirements for fees in FINMAR. |
- 06/08/2010
FINMAR Sch 4
Powers Exercised
- 06/08/2010
FINMAR Sch 4.1
See Notes
| The following powers and related provisions in or under the Act have been exercised by the FSA to make the rules, statements of policy and guidance in FINMAR: | |
| Section 131B (Short selling rules) | |
| Section 157(1) (Guidance) | |
| Section 165B(6) (Safeguards etc in relation to exercise of power under section 165A) | |
- 06/08/2010
FINMAR Sch 5
Rights of action for damages
- 06/08/2010
FINMAR Sch 5.1
See Notes
| There are no rules in FINMAR. |
- 06/08/2010
FINMAR Sch 6
Rules that can be waived
- 06/08/2010
FINMAR Sch 6.1
See Notes
| As a result of regulation 10 of the Regulatory Reform (Financial Services and Markets Act 2000) Order 2007 (SI 2007/1973) the FSA has power to waive all its rules, other than rules made under section 247 (Trust scheme rules) or section 248 (Scheme particulars rules) of the Act. However, if the rules incorporate requirements laid down in European directives, it will not be possible for the FSA to grant a waiver that would be incompatible with the United Kingdom's responsibilities under those directives. |
- 06/01/2011