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内容简介
英国《2000年金融服务与市场法》（Financial Services and Markets Act 2000）于2001年12月1日正式生效，取代了此前制定的一系列用于监管金融业的法律、法规。该法堪称英国金融业的一部“基本法”，明确了新成立的金融服务管理局（Financial Services Authority）和被监管人的权力、义务及责任。统一了监管标准，规范了金融市场的运作。
《2000年金融服务与市场法》的颁布，标志着英国金融监管体制的重大变革，即从《1986年金融服务法》确立的“制定法框架下的行业自律”体制转变为“制定法规范的单一监管机构”体制(Statutory Single Regulator)，并且确立了金融服务管理局的单一监管机构地位。金融服务管理局承继了前证券与投资局(SIB)对证券投资业务、英格兰银行对银行金融机构、财政部对保险机构的监管职能，其监管范围涵盖了全部金融领域，包括证券、银行、保险以及各类互助会。
目录
Financial Services and Merkets ACT 20001
PART Ⅰ THE REGULATOR4
1 The Financial Services Authority.4
The Authority’s general duties4
2 The Authority’s general duties.4
The regulatory objectives6
3 Market confidence.6
4 Public awareness.8
5 The protection of consumers.8
6 The reduction of financial crime.8
Corporate governance10
7 Duty of Authority to follow principles of good governance.10
Arrangements for consulting practitioners and consumers10
8 The Authority’s general duty to consult.10
9 The Practitioner Panel.12
10 The Consumer Panel.12
11 Duty to consider representations by the Panels.14
Reviews14
12 Reviews.14
13 Right to obtain documents and information.16
Inquiries16
14 Cases in which the Treasury may arrange independent inquiries.16
15 Power to appoint person to hold an inquiry.18
16 Powers of appointed person and procedure.18
17 Conclusion of inquiry.20
18 Obstruction and contempt.20
PART Ⅱ REGULATED AND PROHIBITED ACTIVITIES24
The general prohibition24
19 The general prohibition.24
Requirement for permission24
20 Authorised persons acting without permission.24
Financial promotion26
21 Restrictions on financial promotion.26
Regulated activities28
22 The classes of activity and categories of investment.28
Offences30
23 Contravention of the general prohibition.30
24 False claims to be authorised or exempt.30
25 Contravention of section 21.32
Enforceability of agreements32
26 Agreements made by unauthorised persons.32
27 Agreements made through unauthorised persons.34
28 Agreements made unenforceable by section 26 or 27.36
29 Accepting deposits in breach of general prohibition.38
30 Enforceability of agreements resulting from unlawful communications.38
PART Ⅲ AUTHORISATION AND EXEMPTION42
Authorisation42
31 Authorised persons.42
32 Partnerships and unincorporated associations.42
Ending of authorisation44
33 Withdrawal of authorisation by the Authority.44
34 EEA firms.44
35 Treaty firms.44
36 Persons authorised as a result of paragraph 1(1) of Schedule 5.46
Exercise of EEA rights by UK firms46
37 Exercise of EEA rights by UK firms.46
Exemption46
38 Exemption orders.46
39 Exemption of appointed representatives.48
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2000年金融服务与市场法1
第一部分 监管机关5
第1条 金融服务管理局 5
管理局的基本职责 5
第2条 管理局的基本职责 5
监管目标 7
第3条 市场信心 7
第4条 公众意识 9
第5条 保护消费者 9
第6条 减少金融犯罪 9
公司治理 11
第7条 管理局遵循良好治理原则的职责 11
征求从业人员和消费者意见的安排 11
第8条 管理局征求意见的基本职责 11
第9条 从业人员小组 13
第10条 消费者小组 13
第11条 考虑小组意见的职责 15
审查 15
第12条 审查 15
第13条 获得文件和信息的权利 17
调查 1