http://www.legislation.gov.uk/uksi/2005/1529/contents/madeTelevisionFinancial advice servicesCapital and financial marketsThe Financial Services and Markets Act 2000 (Financial Promotion) Order 2005Queen's Printer of Acts of Parliament2011-07-04FINANCIAL SERVICES AND MARKETS This Order revokes and re-enacts, with certain amendments, the Financial Services and Markets Act 2000 (Financial Promotion) Order 2001 (S.I.2001/1335) (“the 2001 Order”), as amended. ARRANGEMENT OF ARTICLES PART I Citation, Commencement and Interpretation 1 Citation and commencement 2 Interpretation: general 3 Interpretation: unlisted companies PART II Controlled Activities and Controlled Investments 4 Definition of controlled activities and controlled investments PART III Exemptions: Interpretation and Application 5 Interpretation: financial promotion restriction 6 Interpretation: communications 7 Interpretation: real time communications 8 Interpretation: solicited and unsolicited real time communications 8A Interpretation: outgoing electronic commerce communications 9 Degree of prominence to be given to required indications 10 Application to qualifying contracts of insurance 11 Combination of different exemptions PART IV Exempt Communications: All Controlled Activities 12 Communications to overseas recipients 13 Communications from customers and potential customers 14 Follow up non-real time communications and solicited real time communications 15 Introductions 16 Exempt persons 17 Generic promotions 17A Communications caused to be made by unauthorised persons 18 Mere conduits 18A Electronic commerce communications: mere conduits, caching and hosting 19 Investment professionals 20 Communications by journalists 20A Promotion broadcast by company director etc. 20B Incoming electronic commerce communications PART V Exempt Communications: Deposits and Insurance 21 Interpretation: relevant insurance activity 22 Deposits: non-real time communications 23 Deposits: real time communications 24 Relevant insurance activity: non-real time communications 25 Relevant insurance activity: non-real time communications: reinsurance and large risks 26 Relevant insurance activity: real time communications PART VI Exempt Communications: Certain Controlled Activities 27 Application of exemptions in this Part 28 One off non-real time communications and solicited real time communications 28A One off unsolicited real time communications 28B Real time communications: introductions in connection with qualifying credit 29 Communications required or authorised by enactments 30 Overseas communicators: solicited real time communications 31 Overseas communicators: non-real time communications to previously overseas customers 32 Overseas communicators: unsolicited real time communications to previously overseas customers 33 Overseas communicators: unsolicited real time communications to knowledgeable customers 34 Governments, central banks etc. 35 Industrial and provident societies 36 Nationals of EEA States other than United Kingdom 37 Financial markets 38 Persons in the business of placing promotional material 39 Joint enterprises 40 Participants in certain recognised collective investment schemes 41 Bearer instruments: promotions required or permitted by market rules 42 Bearer instruments: promotions to existing holders 43 Members and creditors of certain bodies corporate 44 Members and creditors of open-ended investment companies 45 Group companies 46 Qualifying credit to bodies corporate 47 Persons in the business of disseminating information 48 Certified high net worth individuals 49 High net worth companies, unincorporated associations etc. 50 Sophisticated investors 50A Self-certified sophisticated investors 51 Associations of high net worth or sophisticated investors 52 Common interest group of a company 53 Settlors, trustees and personal representatives 54 Beneficiaries of trust, will or intestacy 55 Communications by members of professions 55A Non-real time communications by members of professions 56 Remedy following report by Parliamentary Commissioner for Administration 57 Persons placing promotional material in particular publications 58 Acquisition of interest in premises run by management companies 59 Annual accounts and directors' report 60 Participation in employee share schemes 61 Sale of goods and supply of services 62 Sale of body corporate 63 Takeovers of relevant unlisted companies: interpretation 64 Takeovers of relevant unlisted companies 65 Takeovers of relevant unlisted companies: warrants etc. 66 Takeovers of relevant unlisted companies: application forms 67 Promotions required or permitted by market rules 68 Promotions in connection with admission to certain EEA markets 69 Promotions of securities already admitted to certain markets 70 Promotions included in listing particulars etc. 71 Material relating to prospectus for public offer of unlisted securities 72 Pension products offered by employers 73 Advice centres 74 Revocation SCHEDULES SCHEDULE 1 Controlled Activities and Controlled Investments Part I Controlled activities Part II Controlled investments SCHEDULE 2 Countries and Territories SCHEDULE 3 Markets and Exchanges Part I Criteria for relevant EEA markets Part II Certain investment exchanges operating relevant EEA markets Part III Certain non-EEA investment exchanges operating relevant markets Part IV Other relevant markets SCHEDULE 4 Takeovers of relevant unlisted companies Part I Requirements relating to the offer Part II Accompanying material Part III Additional material available for inspection SCHEDULE 5 Statements for certified high net worth individuals and self-certified sophisticated investors Part I Statement for certified high net worth individuals Part II Statement for self-certified sophisticated investors SCHEDULE 6 Revocation 2005 No. 1529 Made 8th June 2005 Laid before Parliament 9th June 2005 Coming into force 1st July 2005 The Treasury, in exercise of the powers conferred on them by section 21(5), (6), (9) and (10), and section 428(3) of, and paragraph 25 of Schedule 2 to, the Financial Services and Markets Act 2000, hereby make the following Order: 2000 c. 8.