ANNEX B

Authorised and Regulated Businesses

Businesses authorised and regulated under the Act include:

  • Banks;

  • Building societies;

  • Insurance companies;

  • Friendly societies;

  • Credit unions;

  • Society of Lloyd’s;

  • Investment advisers;

  • Stockbrokers;

  • Professional firms offering certain types of investment services specified in the Act e.g. solicitors, accountants and actuaries;

  • Fund managers;

  • Derivative traders; and

  • Mortgage providers.

This list is intended to be illustrative rather than definitive. Regulated activities are not defined in the Act itself but categories of regulated activities are specified in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544). This order is amended from time to time to reflect the regulation of new categories of activity, but an up to date version of the Order, as currently amended, can be found on the HM Treasury website, www.hm-treasury.gov.uk.

 

Further Information