Butterworths securities & financial services law handbook

Butterworths Securities & Financial Services Law Handbook brings together in one convenient volume the primary, secondary and European legislation of importance to lawyers, compliance officers and regulators working in the financial services sector. The past 12 months have seen the most important changes to the UK financial services sector in over a decade. This, the fourteenth edition of this Handbook, contains the new legislation effecting those changes. Part 1 contains the complete and updated text of the Financial Services and Markets Act 2000 including all amendments made by the Financial Services Act 2012. It also includes the substantive Parts of the 2012 Act itself. Appendix 1 in Part 1 contains a table of commencement dates for the 2000 Act, including all new provisions added to the Act since its enactment, complete with details of transitional provisions. Appendix 2 in Part 1 contains a similar table of commencements for the Financial Services Act 2012. Part 2 consists of a wide-ranging selection of other primary legislation, including: *Financial Services Act 2010 *Relevant provisions of the Companies Act 2006 *Provisions in relation to insider dealing and anti-money laundering (Criminal Justice Act 1993 and Proceeds of Crime Act 2002) *Banking legislation including the Bank of England Act 1998 and the Banking Act 2009. Sections A and B of Part 3 contain more than 80 FSMA 2000 statutory instruments including fully updated versions of the Regulated Activities Order and the Financial Promotion Order. It also contains the 2013 statutory instruments made under FSMA 2000 as amended by FSA 2012, including: *FSMA 2000 (Prescribed Financial Institutions) Order 2013 *FSMA 2000 (Qualifying EU Provisions) Order 2013 *FSMA 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 *FSMA 2000 (PRA-regulated Activities) Order 2013. Appendix 3 in Part 3 provides a list of all statutory instruments made under the 2000 Act together with a brief summary of their effect. Section C of Part 3 contains the statutory instruments made under the Financial Services Act 2012. These are all new to this edition and include: *The first, second and third commencement orders for the 2012 Act *FSA 2012 (Transitional Provisions) (Rules and Miscellaneous Provisions) Order 2013 *FSA 2012 (Misleading Statements and Impressions) Order 2013 *FSA 2012 (Transitional Provisions) (Permission and Approval) Order 2013 *FSA 2012 (Transitional Provisions) (Enforcement) Order 2013. Appendix 4 in Part 3 lists and summarises all statutory instruments made under the Financial Services Act 2012. Section D of Part 3 contains a wide selection of other statutory instruments. These cover such areas as proceeds of crime, money laundering and banking, and include: *Insider Dealing (Securities and Regulated Markets) Order 1994 *Uncertificated Securities Regulations 2001 *Financial Services (Distance Marketing) Regulations 2004 *Payment Services Regulations 2009 *Electronic Money Regulations 2011 *FSMA 2000 (Short Selling) Regulations 2012 *Bank of England Act 1998 (Macro-prudential Measures) Order 2013. Changes on the European front in the past 12 months have been as substantial and wide-ranging as changes to UK legislation. Part 4 (European legislation) contains over 20 new Regulations, including: *Short Selling Regulation (2012) *Short Selling Disclosure Regulation (2012) *CRA Periodic Reporting Regulation (2012) *European Market Infrastructure Regulation (2012) *EMIR - Trade Repositories Registration Regulation (2012) *Six 2013 Regulations with regard to regulatory technical standards for the EMIR Regulation. Consolidated material in Part 4 includes MiFID and the Third Money Laundering Directive, the recast UCITS Directive and the Omnibus Directive, the Payment Services Directive and the E-Money Directive, and the legislation creating the new European Supervisory Authorities. The Appendix to Part 4 gives details of the UK implementation measures for all the Directives included in this Part. Containing more than 200 pieces of UK legislation and over 70 of the most important European Regulations and Directives, all lawyers, compliance officers and regulators working in the financial services field will find that Butterworths Securities & Financial Services Law Handbook provides a portable, comprehensive, up-to-date and indispensable reference source.

Part 1 Financial Services And Markets Act 2000 & Financial Services Act 2012
Financial Services and Markets Act 2000
Financial Services Act 2012
Appendix 1: Commencement dates of the Financial Services and Markets Act 2000
Appendix 2: Commencement dates of the Financial Services Act 2012
Part 2 Other Acts
Limited Partnerships Act 1907
Theft Act 1968
Stock Exchange (Completion of Bargains) Act 1976
Competition Act 1980
Police and Criminal Evidence Act 1984
Insolvency Act 1986
Building Societies Act 1986
Finance Act 1989
Law of Property (Miscellaneous Provisions) Act 1989
Companies Act 1989
Friendly Societies Act 1992
Tribunals and Inquiries Act 1992
Criminal Justice Act 1993
Bank of England Act 1998
Data Protection Act 1998
Competition Act 1998
Human Rights Act 199
Terrorism Act 2000
Limited Liability Partnerships Act 2000
Regulation of Investigatory Powers Act 2000
Anti-terrorism, Crime and Security Act 2001
Criminal Justice and Police Act 2001
Proceeds of Crime Act 2002
Enterprise Act 2002
Civil Partnership Act 2004
Inquiries Act 2005
Gambling Act 2005
Regulation of Financial Services (Land Transactions) Act 2005
Fraud Act 2006
Companies Act 2006
Investment Exchanges and Clearing Houses Act 2006
Tribunals, Courts and Enforcement Act 2007
Building Societies (Funding) and Mutual Societies (Transfers) Act 2007
Banking (Special Provisions) Act 2008
Dormant Bank and Building Society Accounts Act 2008
Counter-Terrorism Act 2008
Banking Act 2009
Financial Services Act 2010
Part 3 Statutory Instruments
A. FSMA 2000 Commencement Orders
Financial Services and Markets Act 2000 (Commencement No 1) Order 2001, SI 2001/516
Financial Services and Markets Act 2000 (Commencement No 2) Order 2001, SI 2001/1282
Financial Services and Markets Act 2000 (Commencement No 3) Order 2001, SI 2001/1820
Financial Services and Markets Act 2000 (Commencement No 4 and Transitional Provision) Order 2001, SI 2001/2364
Financial Services and Markets Act 2000 (Commencement No 5) Order 2001, SI 2001/2632
Financial Services and Markets Act 2000 (Commencement No 6) Order 2001, SI 2001/3436
Financial Services and Markets Act 2000 (Commencement No 7) Order 2001, SI 2001/3538
B. FSMA 2000 Statutory Instruments
Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544
Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001, SI 2001/995
Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001, SI 2001/996
Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001, SI 2001/1060
Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001, SI 2001/1062
Financial Services and Markets Act 2000 (Carrying on Regulated Activities by way of Business) Order 2001, SI 2001/1177
Financial Services and Markets Act 2000 (Exemption) Order 2001, SI 2001/1201
Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001, SI 2001/1217
Financial Services and Markets Act 2000 (Designated Professional Bodies) Order 2001, SI 2001/1226
Financial Services and Markets Act 2000 (Professions) (Non-exempt Activities) Order 2001, SI 2001/1227
Open-ended Investment Companies Regulations 2001, SI 2001/1228
Financial Services and Markets Act 2000 (Dissolution of the Insurance Brokers Registration Council) (Consequential Provisions) Order 2001, SI 2001/1283
Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001, SI 2001/1420
Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001, SI 2001/1783
Financial Services and Markets Act 2000 (Disclosure of Information by Prescribed Persons) Regulations 2001, SI 2001/1857
Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001, SI 2001/2188
Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001, SI 2001/2256
Financial Services and Markets Act 2000 (Meaning of "Policy" and "Policyholder") Order 2001, SI 2001/2361
Financial Services and Markets Act 2000 (Collective Investment Schemes constituted in other EEA States) Regulations 2001, SI 2001/2383
Financial Services and Markets Tribunal Rules 2001, SI 2001/2476
Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001, SI 2001/2507
Financial Services and Markets Act 2000 (Consultation with Competent Authorities) Regulations 2001, SI 2001/2509
Financial Services and Markets Act 2000 (Gaming Contracts) Order 2001, SI 2001/2510
Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001, SI 2001/2511
Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001, SI 2001/2587
Financial Services and Markets Act 2000 (Mutual Societies) Order 2001, SI 2001/2617
Financial Services and Markets Act 2000 (Insolvency) (Definition of "Insurer") Order 2001, SI 2001/2634
Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2001, SI 2001/2635
Financial Services and Markets Act 2000 (Own-Initiative Power) (Overseas Regulators) Regulations 2001, SI 2001/2639
Financial Services and Markets Act 2000 (Official Listing of Securities) Regulations 2001, SI 2001/2956
Financial Services and Markets Act 2000 (Gibraltar) Order 2001, SI 2001/3084
Financial Services and Markets Act 2000 (Controllers) (Exemption) (No 2) Order 2001, SI 2001/3338
Financial Services and Markets Act 2000 (Interim Permissions) Order 2001, SI 2001/3374
Bankruptcy (Financial Services and Markets Act 2000) (Scotland) Rules 2001, SI 2001/3591
Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001, SI 2001/3625
Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) Order 2001, SI 2001/3626
Financial Services and Markets Tribunal (Legal Assistance) Regulations 2001, SI 2001/3632
Financial Services and Markets Tribunal (Legal Assistance Scheme--Costs) Regulations 2001, SI 2001/3633
Insurers (Winding up) Rules 2001, SI 2001/3635
Financial Services and Markets Act 2000 (Misleading Statements and Practices) Order 2001, SI 2001/3645
Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001, SI 2001/3648
Financial Services and Markets Act 2000 (Miscellaneous Provisions) Order 2001, SI 2001/3650
Financial Services and Markets Act 2000 (Scope of Permission Notices) Order 2001, SI 2001/3771
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002, SI 2002/682
Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2002, SI 2002/1242
Electronic Commerce Directive (Financial Services and Markets) Regulations 2002, SI 2002/1775
Financial Services and Markets Act 2000 (Fourth Motor Insurance Directive) Regulations 2002, SI 2002/2706
Financial Services and Markets Act 2000 (Collective Investment Schemes) (Designated Countries and Territories) Order 2003, SI 2003/1181
Financial Services and Markets Act 2000 (Communications by Actuaries) Regulations 2003, SI 2003/1294
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 1) Order 2003, SI 2003/1475
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2003, SI 2003/1476
Financial Services and Markets Act 2000 (Transitional Provisions) (Complaints Relating to General Insurance and Mortgages) Order 2004, SI 2004/454
Financial Conglomerates and Other Financial Groups Regulations 2004, SI 2004/1862
Financial Services and Markets Act 2000 (Transitional Provisions) (Mortgages) Order 2004, SI 2004/2615
Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004, SI 2004/2738
Financial Services and Markets Act 2000 (Transitional Provisions) (General Insurance Intermediaries) Order 2004, SI 2004/3351
Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, SI 2005/1529
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2006, SI 2006/1969
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2006, SI 2006/2383
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 3) Order 2006, SI 2006/3384
Financial Services and Markets Act 2000 (EEA Passport Rights) (Amendment) Regulations 2006, SI 2006/3385
Financial Services and Markets Act 2000 (Ombudsman Scheme) (Consumer Credit Jurisdiction) Order 2007, SI 2007/383
Financial Services and Markets Act 2000 (Markets in Financial Instruments) (Amendment) Regulations 2007, SI 2007/763
Money Laundering Regulations 2007, SI 2007/2157
Transfer of Funds (Information on the Payer) Regulations 2007, SI 2007/3298
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2007, SI 2007/3510
Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009, SI 2009/774
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009, SI 2009/1342
Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009, SI 2009/3075
Credit Rating Agencies Regulations 2010, SI 2010/906
Financial Services and Markets Act 2000 (Contribution to Costs of Special Resolution Regime) Regulations 2010, SI 2010/2220
Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010, SI 2010/3023
Undertakings for Collective Investment in Transferable Securities Regulations 2011, SI 2011/1613
Financial Services and Markets Act 2000 (Permissions, Transitional Provisions and Consequential Amendments) (Northern Ireland Credit Unions) Order 2011, SI 2011/2832
Open-Ended Investment Companies (Amendment) Regulations 2011, SI 2011/3049
Financial Services and Markets Act 2000 (Prescribed Financial Institutions) Order 2013, SI 2013/165
Payment to Treasury of Penalties (Enforcement Costs) Order 2013, SI 2013/418
Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013, SI 2013/419
Financial Services and Markets Act 2000 (Exercise of Powers under Part 4A) (Consultation with Home State Regulators) Regulations 2013, SI 2013/431
Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013, SI 2013/504
Financial Services and Markets Act 2000 (PRA-regulated Activities) Order 2013, SI 2013/566
Financial Services and Markets Act 2000 (Financial Services Compensation Scheme) Order 2013, SI 2013/598
Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2013, SI 2013/655
Appendix 3: Statutory Instruments made under FSMA 2000
C. FSA 2012 Statutory Instruments
Financial Services Act 2012 (Commencement No 1) Order 2013, SI 2013/113
Financial Services Act 2012 (Transitional Provisions) (Rules and Miscellaneous Provisions) Order 2013, SI 2013/161
Financial Services Act 2012 (Commencement No 2) Order 2013, SI 2013/423
Financial Services Act 2012 (Transitional Provisions) (Permission and Approval) Order 2013, SI 2013/440
Financial Services Act 2012 (Transitional Provisions) (Enforcement) Order 2013, SI 2013/441
Financial Services Act 2012 (Transitional Provisions) (Miscellaneous Provisions) Order 2013, SI 2013/442
Financial Services Act 2012 (Mutual Societies) Order 2013, SI 2013/496
Financial Services Act 2012 (Misleading Statements and Impressions), SI 2013/637
Appendix 4: Statutory Instruments made under FSA 2012
D. Other Statutory Instruments
Stock Transfer (Recognised Stock Exchanges) Order 1973, SI 1973/536
Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, SI 1975/1023
Financial Markets and Insolvency Regulations 1991, SI 1991/880
Insider Dealing (Securities and Regulated Markets) Order 1994, SI 1994/187
Financial Markets and Insolvency Regulations 1996, SI 1996/1469
Public Interest Disclosure (Prescribed Persons) Order 1999, SI 1999/1549
Unfair Terms in Consumer Contracts Regulations 1999, SI 1999/2083
Financial Markets and Insolvency (Settlement Finality) Regulations 1999, SI 1999/2979
Limited Liability Partnerships (Forms) Regulations 2001, SI 2001/927
Limited Liability Partnerships Regulations 2001, SI 2001/1090
Limited Liability Partnerships (Scotland) Regulations 2001, SSI 2001/128
Bankruptcy (Financial Services and Markets Act 2000) Rules 2001, SI 2001/3634
Uncertificated Securities Regulations 2001, SI 2001/3755
Limited Liability Partnerships (Forms) Regulations 2002, SI 2002/690
Electronic Commerce (EC Directive) Regulations 2002, SI 2002/2013
Proceeds of Crime Act 2002 (Enforcement in different parts of the United Kingdom) Order 2002, SI 2002/3133
Proceeds of Crime Act 2002 (Failure to Disclose Money Laundering: Specified Training) Order 2003, SI 2003/171
Proceeds of Crime Act 2002 (Crown Servants) Regulations 2003, SI 2003/173
Proceeds of Crime Act 2002 (Application of Police and Criminal Evidence Act 1984 and Police and Criminal Evidence (Northern Ireland) Order 1989) Order 2003, SI 2003/174
Proceeds of Crime Act 2002 (Investigations in different parts of the United Kingdom) Order 2003, SI 2003/425
Financial Collateral Arrangements (No 2) Regulations 2003, SI 2003/3226
Insurers (Reorganisation and Winding Up) Regulations 2004, SI 2004/353
Credit Institutions (Reorganisation and Winding up) Regulations 2004, SI 2004/1045
Financial Services (Distance Marketing) Regulations 2004, SI 2004/2095
Financial Services and Markets Act 2000 (Market Abuse) Regulations 2005, SI 2005/381
Investment Recommendation (Media) Regulations 2005, SI 2005/382
Prospectus Regulations 2005, SI 2005/1433
Insurers (Reorganisation and Winding Up) (Lloyd's) Regulations 2005, SI 2005/1998
Proceeds of Crime Act 2002 (External Requests and Orders) Order 2005, SI 2005/3181
Proceeds of Crime Act 2002 (Money Laundering: Exceptions to Overseas Conduct Defence) Order 2006, SI 2006/1070
Capital Requirements Regulations 2006, SI 2006/3221
Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007, SI 2007/126
Compensation (Exemptions) Order 2007, SI 2007/209
Control of Cash (Penalties) Regulations 2007, SI 2007/1509
Electronic Commerce Directive (Terrorism Act 2006) Regulations 2007, SI 2007/1550
Regulation of Investigatory Powers (Investigation of Protected Electronic Information: Code of Practice) Order 2007, SI 2007/2200
Administrative Justice and Tribunals Council (Listed Tribunals) Order 2007, SI 2007/2951
Regulated Covered Bonds Regulations 2008, SI 2008/346
Northern Rock plc Transfer Order 2008, SI 2008/432
Northern Rock plc Compensation Scheme Order 2008, SI 2008/718
Proceeds of Crime Act 2002 (Investigations in England, Wales and Northern Ireland: Code of Practice) Order 2008, SI 2008/946
Cancellation of Contracts made in a Consumer's Home or Place of Work etc Regulations 2008, SI 2008/1816
Proceeds of Crime Act 2002 (Disclosure of Information) Order 2008, SI 2008/1909
Limited Liability Partnerships (Accounts and Audit) (Application of Companies Act 2006) Regulations 2008, SI 2008/1911
Bradford & Bingley plc Transfer of Securities and Property etc Order 2008, SI 2008/2546
Heritable Bank plc Transfer of Certain Rights and Liabilities Order 2008, SI 2008/2644
Transfer of Rights and Liabilities to ING Order 2008, SI 2008/2666
Kaupthing Singer & Friedlander Limited Transfer of Certain Rights and Liabilities Order 2008, SI 2008/2674
Takeover Code (Concert Parties) Regulations 2008, SI 2008/3073
Bradford & Bingley plc Compensation Scheme Order 2008, SI 2008/3249
Kaupthing Singer & Friedlander Limited (Determination of Compensation) Order 2008, SI 2008/3250
Heritable Bank plc (Determination of Compensation) Order 2008, SI 2008/3251
Payment Services Regulations 2009, SI 2009/209
Banking Act 2009 (Bank Administration) (Modification for Application to Banks in Temporary Public Ownership) Regulations 2009, SI 2009/312
Bank Administration (Sharing Information) Regulations 2009, SI 2009/314
Banking Act 2009 (Parts 2 and 3 Consequential Amendments) Order 2009, SI 2009/317
Banking Act 2009 (Third Party Compensation Arrangements for Partial Property Transfers) Regulations 2009, SI 2009/319
Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009, SI 2009/322
Amendments to Law (Resolution of Dunfermline Building Society) Order 2009, SI 2009/814
Proceeds of Crime Act 2002 (References to Financial Investigators) Order 2009, SI 2009/975
Dunfermline Building Society Compensation Scheme, Resolution Fund and Third Party Compensation Order 2009, SI 2009/1800
Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009, SI 2009/1804
Dunfermline Building Society Independent Valuer Order 2009, SI 2009/1810
Company, Limited Liability Partnership and Business Names (Sensitive Words and Expressions) Regulations 2009, SI 2009/2615
Law Applicable to Contractual Obligation (England and Wales and Northern Ireland) Regulations 2009, SI 2009/3064
Northern Rock plc Transfer Order 2009, SI 2009/3226
Transfer of Tribunal Functions Order 2010, SI 2010/22
Banking Act 2009 (Exclusion of Insurers) Order 2010, SI 2010/35
Cross-Border Payments in Euro Regulations 2010, SI 2010/89
Banking Act 2009 (Inter-Bank Payment Systems) (Disclosure and Publication of Specified Information) Regulations 2010, SI 2010/828
Financial Services Act 2010 (Commencement No 1 and Transitional Provision) Order 2010, SI 2010/2480
Electronic Money Regulations 2011, SI 2011/99
Investment Bank Special Administration Regulations 2011, SI 2011/245
Investment Bank Special Administration (England and Wales) Rules 2011, SI 2011/1301
Investment Bank Special Administration (Scotland) Rules 2011, SI 2011/2262
Financial Services and Markets Act 2000 (Short Selling) Regulations 2012, SI 2012/2554
Payments in Euro (Credit Transfers and Direct Debits) Regulations 2012, SI 2012/3122
Bank of England Act 1998 (Macro-prudential Measures) Order 2013, SI 2013/644
Part 4 EU Materials
85/577/EEC Council Directive to protect the consumer in respect of contracts negotiated away from business premises
85/611/EEC Council Directive on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)
93/13/EEC Council Directive on unfair terms in consumer contracts
97/9/EC Directive of the European Parliament and of the Council on investor-compensation schemes
98/26/EC Directive of the European Parliament and of the Council on settlement finality in payment and securities settlement systems
2000/46/EC Directive of the European Parliament and of the Council on the taking up, pursuit of and prudential supervision of the business of electronic money institutions
2001/34/EC Directive of the European Parliament and of the Council on the admission of securities to official stock exchange listing and on information to be published on those securities
2002/47/EC Directive of the European Parliament and of the Council on financial collateral arrangements
2002/65/EC Directive of the European Parliament and of the Council concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC
2002/87/EC Directive of the European Parliament and of the Council on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council
2003/6/EC Directive of the European Parliament and of the Council on insider dealing and market manipulation (market abuse)
2003/71/EC Directive of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading and amending 2001/34
2273/2003/EC Commission Regulation implementing Directive 2003/6/EC of the European Parliament and of the Council as regards exemptions for buy-back programmes and stabilisation of financial instruments
2003/124/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the definition and public disclosure of inside information and the definition of market manipulation
2003/125/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the fair presentation of investment recommendations and the disclosure of conflicts of interest
2004/39/EC Directive of the European Parliament and of the Council on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC
2004/72/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards accepted market practices, the definition of inside information in relation to derivatives on commodities, the drawing up of lists of insiders, the notification of managers' transactions and the notification of suspicious transactions
809/2004/EC Commission Regulation implementing Directive 2003/71/EC of the European Parliament and of the Council as regards information contained in prospectuses as well as the format, incorporation by reference and publication of such prospectuses and dissemination of advertisements
2004/109/EC Directive of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC
2005/60/EC Directive of the European Parliament and of the Council on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing
1889/2005/EC European Parliament and Council Regulation on controls of cash entering or leaving the Community
2006/31/EC Directive of the European Parliament and of the Council amending directive 2004/39/EC on markets in financial instruments, as regards certain deadlines
2006/48/EC Directive of the European Parliament and of the Council relating to the taking up and pursuit of the business of credit institutions (recast)
2006/49/EC Directive of the European Parliament and of the Council on the capital adequacy of investment firms and credit institutions (recast)
2006/512/EC Council Decision amending Decision 1999/468/EC laying down the procedures for the exercise of implementing powers conferred on the Commission
Statement by the European Parliament, the Council and the Commission concerning the Council Decision of 17 July 2006 amending Decision 1999/468/EC laying down the procedures for the exercise of implementing powers conferred on the Commission (2006/512/EC)
2006/70/EC Commission Directive laying down implementing measures for Directive 2005/60/EC of the European Parliament and of the Council as regards the definition of politically exposed person and the technical criteria for simplified customer due diligence procedures and for exemption on grounds of a financial activity conducted on an occasional or very limited basis
1287/2006/EC Commission Regulation implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive
2006/73/EC Commission Directive implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive
1781/2006/EC European Parliament and Council Regulation on information on the payer accompanying transfers of funds
2007/14/EC Commission Directive laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market
2007/16/EC Commission Directive implementing Council Directive 85/611/EEC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards the clarification of certain definitions
Commission Recommendation on the electronic network of officially appointed mechanisms for the central storage of regulated information referred to in Directive 2004/109/EC of the European Parliament and of the Council
2007/64/EC Directive of the European Parliament and of the Council on payment services in the internal market amending Directives 97/7/EC, 2002/65/EC, 2005/60/EC and 2006/48/EC and repealing Directive 97/5/EC
2009/65/EC Directive of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast)
2009/110/EC Directive of the European Parliament and of the Council on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC
2009/111/EC Directive of the European Parliament and of the Council amending Directives 2006/48/EC, 2006/49/EC and 2007/64/EC as regards banks affiliated to central institutions, certain own funds items, large exposures, supervisory arrangements, and crisis management
1060/2009/EC European Parliament and Council Regulation on credit rating agencies
583/2010/EU Commission Regulation implementing Directive 2009/65/EC of the European Parliament and of the Council as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website
584/2010/EU Commission Regulation implementing Directive 2009/65/EC of the European Parliament and of the Council as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities
2010/43/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company
2010/44/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure
1092/2010/EU Regulation of the European Parliament and of the Council on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board
1093/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC
1094/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC
1095/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC
1096/2010/EU Council Regulation conferring specific tasks upon the European Central Bank concerning the functioning of the European Systemic Risk Board
2010/73/EU Directive of the European Parliament and of the Council amending Directives 2003/71/EC on the prospectus to be published when securities are offered to the public or admitted to trading and 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market
2010/76/EU Directive of the European Parliament and of the Council amending Directives 2006/48/EC and 2006/49/EC as regards capital requirements for the trading book and for re-securitisations, and the supervisory review of remuneration policies
2010/78/EU Directive of the European Parliament and of the Council amending Directives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC, 2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority (European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pensions Authority) and the European Supervisory Authority (European Securities and Markets Authority)
2011/61/EU Directive of the European Parliament and of the Council on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010
236/2012/EU Regulation of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
272/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to fees charged by the European Securities and Markets Authority to credit rating agencies
446/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on the content and format of ratings data periodic reporting to be submitted to the European Securities and Markets Authority by credit rating agencies
447/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council on credit rating agencies by laying down regulatory technical standards for the assessment of compliance of credit rating methodologies
448/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards for the presentation of the information that credit rating agencies shall make available in a central repository established by the European Securities and Markets Authority
449/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on information for registration and certification of credit rating agencies
648/2012/EU Regulation of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
826/2012/EU Commission Delegated Regulation supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council with regard to regulatory technical standards on notification and disclosure requirements with regard to net short positions, the details of the information to be provided to the European Securities and Markets Authority in relation to net short positions and the method for calculating turnover to determine exempted shares
827/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the means for public disclosure of net position in shares, the format of the information to be provided to the European Securities and Markets Authority in relation to net short positions, the types of agreements, arrangements and measures to adequately ensure that shares or sovereign debt instruments are available for settlement and the dates and period for the determination of the principal venue for a share according to Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps
918/2012/EU Commission Delegated Regulation supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to definitions, the calculation of net short positions, covered sovereign credit default swaps, notification thresholds, liquidity thresholds for suspending restrictions, significant falls in the value of financial instruments and adverse events
919/2012/EU Commission Delegated Regulation supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to regulatory technical standards for the method of calculation of the fall in value for liquid shares and other financial instruments
946/2012/EU Commission Delegated Regulation supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to rules of procedure on fines imposed to credit rating agencies by the European Securities and Markets Authority, including rules on the right of defence and temporal provisions
1247/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the format and frequency of trade reports to trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
1248/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the format of applications for registration of trade repositories according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
1249/2012/EU Commission Delegated Regulation laying down implementing technical standards with regard to the format of the records to be maintained by central counterparties according to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
148/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards on the minimum details of the data to be reported to trade repositories
149/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP
150/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards specifying the details of the application for registration as a trade repository
151/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories, with regard to regulatory technical standards specifying the data to be published and made available by trade repositories and operational standards for aggregating, comparing and accessing the data
152/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on capital requirements for central counterparties
153/2013/EU Commission Delegated Regulation supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties
Appendix 5: Domestic implementation of EC Directives.

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