text:
PART 1
GENERAL
Citation, commencement and interpretation
1
1
This Order may be cited as the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) Order 2003.
2
Articles 22 to 27 of this Order come into force on 1st January 2004.
3
The other provisions of this Order come into force —
a
in so far as they relate to contracts of long-term care insurance, on 31st October 2004;
b
for all other purposes, on 14th January 2005.
4
In this Order —
“ the Act ” means the Financial Services and Markets Act 2000;
“contract of long-term care insurance” means a contract of insurance (within the meaning of the principal Order ) in respect of which the following conditions are met —
the purpose (or one of the purposes) of the policy is to protect the policyholder against the risk of becoming unable to live independently without assistance in consequence of a deterioration of mental or physical health, injury, sickness or other infirmity;
benefits under the contract are payable in respect of —
services,
accommodation, or
goods,
which are (or which is) necessary or desirable due to a deterioration of mental or physical health, injury, sickness or other infirmity;
the contract is expressed to be in effect until the death of the policyholder (except that the contract may give the policyholder the option to surrender the policy); and
the benefits under the contract are capable of being paid throughout the life of the policyholder;
“the principal Order” means the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 .
PART 2
AMENDMENTS TO THE PRINCIPAL ORDER
Amendments to the principal Order
2
This Part of the Order amends the principal Order.
Interpretation and general
3
1
In article 3(1) (interpretation) —
a
in the definition of “overseas person”, in paragraph (a), after “37”, insert “, 39A”; and
b
after the definition of “regulated mortgage contract”, insert —
“relevant investment” means —
rights under a qualifying contract of insurance;
rights under any other contract of insurance;
any investment of the kind specified by any of articles 83, 84, 85 and 87; or
any investment of the kind specified by article 89 so far as relevant to an investment falling within (a) or (c);
.
2
In article 4 (specified activities: general) —
a
after paragraph (4), insert —
4A
Where a person, other than a person specified by Article 1.2 of the insurance mediation directive (the text of which is set out in Part 1 of Schedule 4) —
a
for remuneration, takes up or pursues insurance mediation or reinsurance mediation in relation to a risk or commitment located in an EEA State, and
b
in doing so would be treated as carrying on an activity of a kind specified by a provision of this Part but for an exclusion in any of articles 30, 66 and 67,
that exclusion is to be disregarded (and accordingly that person is to be treated as carrying on an activity of the kind specified by the provision in question).
; and
b
in paragraph (5) —
i
after the definition of “core investment service”, insert —
“insurance mediation” has the meaning given by Article 2.3 of the insurance mediation directive, the text of which is set out in Part II of Schedule 4;
;
ii
at the end of that definition, omit the word “and”; and
iii
at the end of the definition of “investment firm”, insert —
“reinsurance mediation” has the meaning given by Article 2.4 of the insurance mediation directive, the text of which is set out in Part III of Schedule 4.
.
Activities — dealing in investments as agent
4
1
In article 21 (dealing in investments as agent), for “contractually based investments”, substitute “relevant investments”.
2
In article 22 (dealing as agent with or through authorised persons), for paragraph (2), substitute —
2
But the exclusion in paragraph (1) does not apply if —
a
the transaction relates to a contract of insurance; or
b
the agent receives from any person other than the client any pecuniary reward or other advantage, for which he does not account to the client, arising out of his entering into the transaction.
.
3
In article 24 (other exclusions from the activity of dealing as agent) , for “and 72A (information society services)”, substitute “, 72A (information society services), 72B (activities carried on by a provider of relevant goods or services) and 72D (large risks contracts where risk situated outside the EEA)”.
Activities — arranging deals in investments
5
1
In article 25(1) (arranging deals in investments), for “contractually based investment”, substitute “relevant investment”.
2
In article 28 (arranging transactions to which the arranger is a party), after paragraph (2), insert —
3
But the exclusions in paragraphs (1) and (2) do not apply to arrangements made for or with a view to a transaction which relates to a contract of insurance, unless the person making the arrangements either —
a
is the only policyholder; or
b
as a result of the transaction, would become the only policyholder.
.
3
In article 29 (arranging deals with or through authorised persons) , for paragraph (2), substitute —
2
But the exclusion in paragraph (1) does not apply if —
a
the transaction relates, or would relate, to a contract of insurance; or
b
A receives from any person other than the client any pecuniary reward or other advantage, for which he does not account to the client, arising out of his making the arrangements.
.
4
In article 30 (arranging transactions in connection with lending on the security of insurance policies) , in paragraph (2) —
a
in the definition of “relevant authorised person”, for “qualifying contracts of insurance”, substitute “contracts of insurance”; and
b
in the definition of “relevant transaction”, for “qualifying contract of insurance”, substitute “contract of insurance”.
5
In article 33 (introducing) —
a
in paragraph (b)(iii), after “37”, insert “, 39A”;
b
at the end of paragraph (b)(iii), omit “and”; and
c
at the end of paragraph (c), insert —
; and
the arrangements are made with a view to a person entering into a transaction which does not relate to a contract of insurance.
.
6
In article 35 (international securities self-regulating organisations), in paragraph (4)(a), for “contractually based investments”, substitute “relevant investments”.
7
In article 36(1) (other exclusions from the activity of arranging deals) , for “and 72A (information society services)”, substitute “, 72A (information society services), 72B (activities carried on by a provider of relevant goods or services), 72C (provision of information about contracts of insurance on an incidental basis) and 72D (large risks contracts where risk situated outside the EEA)”.
Activities — managing investments
6
In article 39 (other exclusions from the activity of managing investments) , for “and 72A (information society services)”, substitute “, 72A (information society services) and 72C (provision of information about contracts of insurance on an incidental basis)”.
Activities — assisting in the administration and performance of a contract of insurance
7
After article 39 (other exclusions from the activity of managing investments), insert —
CHAPTER VIIA
ASSISTING IN THE ADMINISTRATION AND PERFORMANCE OF A CONTRACT OF INSURANCE
The activity
Assisting in the administration and performance of a contract of insurance
39A
Assisting in the administration and performance of a contract of insurance is a specified kind of activity.
Exclusions
Claims management on behalf of an insurer etc.
39B
1
A person does not carry on an activity of the kind specified by article 39A if he acts in the course of carrying on the activity of —
a
expert appraisal;
b
loss adjusting on behalf of a relevant insurer; or
c
managing claims on behalf of a relevant insurer,
and that activity is carried on in the course of carrying on any profession or business.
2
In this article —
a
“relevant insurer” means —
i
a person who has Part IV permission to carry on an activity of the kind specified by article 10;
ii
a person to whom the general prohibition does not apply by virtue of section 316(1)(a) of the Act (members of the Society of Lloyd's);
iii
an EEA firm falling within paragraph 5(d) of Schedule 3 to the Act (insurance undertaking); or
iv
a relevant reinsurer;
b
“relevant reinsurer” means a person whose main business consists of accepting risks ceded by —
i
a person falling within sub-paragraph (i), (ii) or (iii) of the definition of “relevant insurer”; or
ii
a person who is established outside the United Kingdom who carries on an activity of the kind specified by article 10 by way of business.
Other exclusions
39C
Article 39A is also subject to the exclusions in articles 66 (trustees etc.), 67 (profession or non-investment business), 72A (information society services), 72B (activities carried on by a provider of relevant goods or services), 72C (provision of information about contracts of insurance on an incidental basis) and 72D (large risks contracts where risk situated outside the EEA).
.
Activities — safeguarding and administering
8
In article 44 (other exclusions from the activity of safeguarding and administering) , for “and 72A (information society services)”, substitute “, 72A (information society services) and 72C (provision of information about contracts of insurance on an incidental basis)”.
Activities — advising on investments
9
1
In article 53 (advising on investments), in paragraph (b)(i), for “contractually based investment”, substitute “relevant investment”.
2
In article 54 (advice given in newspapers) , in paragraph (1)(b), for “contractually based investments”, substitute “relevant investments”.
3
In article 55(1) (other exclusions from the activity of advising on investments) , for “and 72A (information society services)”, substitute “, 72A (information society services), 72B (activities carried on by a provider of relevant goods or services) and 72D (large risks contracts where risk situated outside the EEA)”.
Exclusions applying to several activities
10
1
In article 66 (trustees, nominees and personal representatives) —
a
after paragraph (3), insert —
3A
Subject to paragraph (7), there is excluded from article 39A any activity carried on by a person acting as trustee or personal representative, unless he holds himself out as providing a service comprising an activity of the kind specified by article 39A.
; and
b
in paragraph (7), after “(3)”, insert “, (3A)”.
2
In article 67 (activities carried on in the course of a profession or non-investment business) , for “40”, substitute “39A, 40”.
3
In article 68 (activities carried on in connection with the sale of goods or supply of services) —
a
in paragraph (1), in the definition of “supplier”, after “37”, insert “, 39A”;
b
in paragraph (9), for “qualifying contract of insurance”, substitute “contract of insurance”; and
c
in paragraph (11), for “qualifying contract of insurance”, substitute “contract of insurance”.
4
In article 69 (groups and joint enterprises) , after paragraph (9), insert —
10
Paragraph (2) does not apply to a transaction for the sale or purchase of a contract of insurance.
11
Paragraph (4) does not apply to arrangements for, or with a view to, a transaction for the sale or purchase of a contract of insurance.
12
Paragraph (9) does not apply where the advice relates to a transaction for the sale or purchase of a contract of insurance.
.
5
In article 70 (activities carried on in connection with the sale of a body corporate), after paragraph (6), insert —
7
Paragraphs (4), (5) and (6) do not apply in the case of a transaction for the sale or purchase of a contract of insurance.
.
6
In article 72 (overseas persons) , in paragraph (6), after “37”, insert “, 39A”.
Further exclusions in connection with activities carried on in relation to contracts of insurance
11
After article 72A (information society services) , insert —
Activities carried on by a provider of relevant goods or services
72B
1
In this article —
“connected contract of insurance” means a contract of insurance which —
is not a contract of long-term insurance;
has a total duration (or would have a total duration were any right to renew conferred by the contract exercised) of five years or less;
has an annual premium (or, where the premium is paid otherwise than by way of annual premium, the equivalent of an annual premium) of 500 euro or less, or the equivalent amount in sterling or other currency;
covers the risk of —
breakdown, loss of, or damage to, non-motor goods supplied by the provider; or
damage to, or loss of, baggage and other risks linked to the travel booked with the provider (“travel risks”);
does not cover any liability risks (except, in the case of a contract which covers travel risks, where that cover is ancillary to the main cover provided by the contract);
is complementary to the non-motor goods being supplied or service being provided by the provider; and
is of such a nature that the only information that a person requires in order to carry on an activity of the kind specified by article 21, 25, 39A or 53 in relation to it is the cover provided by the contract;
“non-motor goods” means goods which are not mechanically propelled road vehicles;
“provider” means a person who supplies non-motor goods or provides services related to travel in the course of carrying on a profession or business which does not otherwise consist of the carrying on of regulated activities.
2
There is excluded from article 21 any transaction for the sale or purchase of a connected contract of insurance into which a provider enters as agent.
3
There are excluded from article 25(1) and (2) any arrangements made by a provider for, or with a view to, a transaction for the sale or purchase of a connected contract of insurance.
4
There is excluded from article 39A any activity carried on by a provider where the contract of insurance in question is a connected contract of insurance.
5
There is excluded from article 53 the giving of advice by a provider in relation to a transaction for the sale or purchase of a connected contract of insurance.
6
For the purposes of this article, a contract of insurance which covers travel risks is not to be treated as a contract of long-term insurance, notwithstanding the fact that it contains related and subsidiary provisions such that it might be regarded as a contract of long-term insurance, if the cover to which those provisions relate is ancillary to the main cover provided by the contract.
Provision of information on an incidental basis
72C
1
There is excluded from articles 25(1) and (2) the making of arrangements for, or with a view to, a transaction for the sale or purchase of a contract of insurance or an investment of the kind specified by article 89, so far as relevant to such a contract, where that activity meets the conditions specified in paragraph (4).
2
There is excluded from articles 37 and 40 any activity —
a
where the assets in question are rights under a contract of insurance or an investment of the kind specified by article 89, so far as relevant to such a contract; and
b
which meets the conditions specified in paragraph (4).
3
There is excluded from article 39A any activity which meets the conditions specified in paragraph (4).
4
The conditions specified in this paragraph are that the activity —
a
consists of the provision of information to the policyholder or potential policyholder;
b
is carried on by a person in the course of carrying on a profession or business which does not otherwise consist of the carrying on of regulated activities; and
c
may reasonably be regarded as being incidental to that profession or business.
Large risks contracts where risk situated outside the EEA
72D
1
There is excluded from articles 21, 25(1) and (2), 39A and 53 any activity which is carried on in relation to a large risks contract of insurance, to the extent that the risk or commitment covered by the contract is not situated in an EEA State.
2
In this article, a “large risks contract of insurance” is a contract of insurance the principal object of which is to cover —
a
risks falling within paragraph 4 (railway rolling stock), 5 (aircraft), 6 (ships), 7 (goods in transit), 11 (aircraft liability) or 12 (liability of ships) of Part 1 of Schedule 1;
b
risks falling within paragraph 14 (credit) or 15 (suretyship) of that Part provided that the risks relate to a business carried on by the policyholder; or
c
risks falling within paragraph 3 (land vehicles), 8 (fire and natural forces), 9 (damage to property), 10 (motor vehicle liability), 13 (general liability) or 16 (miscellaneous financial loss) of that Part provided that the risks relate to a business carried on by the policyholder and that the condition specified in paragraph (3) is met in relation to that business.
3
The condition specified in this paragraph is that at least two of the three following criteria were met in the most recent financial year for which information is available —
a
the balance sheet total of the business (within the meaning of section 247(5) of the Companies Act 1985 or article 255(5) of the Companies (Northern Ireland) Order 1986 ) exceeded 6.2 million euro,
b
the net turnover (within the meaning given to “turnover” by section 262(1) of that Act or article 270(1) of that Order) exceeded 12.8 million euro,
c
the number of employees (within the meaning given by section 247(6) of that Act or article 255(6) of that Order) exceeded 250,
and for a financial year which is a company’s financial year but not in fact a year, the net turnover of the policyholder shall be proportionately adjusted.
4
For the purposes of paragraph (3), where the policyholder is a member of a group for which consolidated accounts (within the meaning of the Seventh Company Law Directive) are drawn up, the question whether the condition specified by that paragraph is met is to be determined by reference to those accounts.
.
Relevant text of the insurance mediation directive
12
After Schedule 3, insert —
SCHEDULE 4
RELEVANT TEXT OF THE INSURANCE MEDIATION DIRECTIVE
Article 4
Part 1
Article 1.2
This Directive shall not apply to persons providing mediation services for insurance contracts if all the following conditions are met:
a
the insurance contract only requires knowledge of the insurance cover that is provided;
b
the insurance contract is not a life assurance contract;
c
the insurance contract does not cover any liability risks;
d
the principal professional activity of the person is other than insurance mediation;
e
the insurance is complementary to the product or service supplied by any provider, where such insurance covers:
i
the risk of breakdown, loss of or damage to goods supplied by that provider; or
ii
damage to or loss of baggage and other risks linked to the travel booked with that provider, even if the insurance covers life assurance or liability risks, provided that the cover is ancillary to the main cover for the risks linked to that travel;
f
the amount of the annual premium does not exceed EUR 500 and the total duration of the insurance contract, including any renewals, does not exceed five years.
Part II
Article 2.3
“Insurance mediation” means the activities of introducing, proposing or carrying out other work preparatory to the conclusion of contracts of insurance, or of concluding such contracts, or of assisting in the administration and performance of such contracts, in particular in the event of a claim.
These activities when undertaken by an insurance undertaking or an employee of an insurance undertaking who is acting under the responsibility of the insurance undertaking shall not be considered as insurance mediation.
The provision of information on an incidental basis in the context of another professional activity provided that the purpose of that activity is not to assist the customer in concluding or performing an insurance contract, the management of claims of an insurance undertaking on a professional basis, and loss adjusting and expert appraisal of claims shall also not be considered as insurance mediation.
Part III
Article 2.4
“Reinsurance mediation” means the activities of introducing, proposing or carrying out other work preparatory to the conclusion of contracts of reinsurance, or of concluding such contracts, or of assisting in the administration and performance of such contracts, in particular in the event of a claim.
These activities when undertaken by a reinsurance undertaking or an employee of a reinsurance undertaking who is acting under the responsibility of the reinsurance undertaking are not considered as reinsurance mediation.
The provision of information on an incidental basis in the context of another professional activity provided that the purpose of that activity is not to assist the customer in concluding or performing a reinsurance contract, the management of claims of a reinsurance undertaking on a professional basis, and loss adjusting and expert appraisal of claims shall also not be considered as reinsurance mediation.
.
PART 3
MEMBERS OF THE PROFESSIONS AND APPOINTED REPRESENTATIVES
Register of unauthorised persons carrying on insurance mediation activities
13
After article 91 of the principal Order, insert —
PART V
UNATHORISED PERSONS CARRYING ON INSURANCE MEDIATION ACTIVITIES
Interpretation
92
In this Part —
“designated professional body” means a body which is for the time being designated by the Treasury under section 326 of the Act (designation of professional bodies) ;
“insurance mediation activity” means any regulated activity of the kind specified by article 21, 25(1) or (2), 39A or 53, or, so far as relevant to any of those articles, article 64, which is carried on in relation to a contract of insurance;
“the record” means the record maintained by the Authority under section 347 of the Act (public record of authorised persons etc.);
“recorded insurance intermediary” has the meaning given by article 93(4);
“a relevant member”, in relation to a designated professional body, means a member (within the meaning of section 325(2) of the Act) of the profession in relation to which that designated professional body is established, or a person who is controlled or managed by one or more such members.
Duty to maintain a record of unauthorised persons carrying on insurance mediation activities
93
1
Subject to articles 95 and 96, the Authority must include in the record every person who —
a
as a result of information obtained by virtue of its rules or by virtue of a direction given, or requirement imposed, under section 51(3) of the Act (procedure for applications under Part IV), appears to the Authority to fall within paragraph (2); or
b
as a result of information obtained by virtue of article 94, appears to the Authority to fall within paragraph (3).
2
A person falls within this paragraph if he is, or has entered into a contract by virtue of which he will be, an appointed representative who carries on any insurance mediation activity.
3
A person falls within this paragraph if —
a
he is a relevant member of a designated professional body who carries on, or is proposing to carry on, any insurance mediation activity; and
b
the general prohibition does not (or will not) apply to the carrying on of those activities by virtue of section 327 of the Act (exemption from the general prohibition).
4
In this Part, “recorded insurance intermediary” means a person who is included in the record by virtue of paragraph (1).
5
The record must include —
a
in the case of any recorded insurance intermediary, its address; and
b
in the case of a recorded insurance intermediary which is not an individual, the name of the individuals who are responsible for the management of the business carried on by the intermediary, so far as it relates to insurance mediation activities.
Members of designated professional bodies
94
1
A designated professional body must, by notice in writing, inform the Authority of —
a
the name,
b
the address, and
c
in the case of a relevant member which is not an individual, the name of the individuals who are responsible for the management of the business carried on by the member, so far as it relates to insurance mediation activities,
of any relevant member who falls within paragraph (2).
2
A relevant member of a designated professional body falls within this paragraph if, in accordance with the rules of that body, he carries on, or proposes to carry on any insurance mediation activity but does not have, and does not propose to apply for, Part IV permission on the basis that the general prohibition does not (or will not) apply to the carrying on of that activity by virtue of section 327 of the Act.
3
A designated professional body must also, by notice in writing, inform the Authority of any change in relation to the matters specified in sub-paragraphs (a) to (c) of paragraph (1).
4
A designated professional body must inform the Authority when a relevant member to whom paragraph (2) applies ceases, for whatever reason, to carry on insurance mediation activities.
5
The Authority may give directions to a designated professional body as to the manner in which the information referred to in paragraphs (1), (3) and (4) must be provided.
Exclusion from record where not fit and proper to carry on insurance mediation activities
95
1
If it appears to the Authority that a person who falls within article 93(2) (appointed representatives) (“ AR ”) is not a fit and proper person to carry on insurance mediation activities, it may decide not to include him in the record or, if that person is already included in the record, to remove him from the record.
2
Where the Authority proposes to make a determination under paragraph (1), it must give AR a warning notice.
3
If the Authority makes a determination under paragraph (1), it must give AR a decision notice.
4
If the Authority gives AR a decision notice under paragraph (3), AR may refer the matter to the Tribunal.
5
The Authority may, on the application of AR, revoke a determination under paragraph (1).
6
If the Authority decides to grant the application, it must give AR written notice of its decision.
7
If the Authority proposes to refuse the application, it must give AR a warning notice.
8
If the Authority decides to refuse the application, it must give AR a decision notice.
9
If the Authority gives AR a decision notice under paragraph (8), AR may refer the matter to the Tribunal.
10
Sections 393 and 394 of the Act (third party rights and access to Authority material) apply to a warning notice given in accordance with paragraph (2) or (7) and to a decision notice given in accordance with paragraph (3) or (8).
Exclusion from the record where Authority has exercised its powers under Part XX of the Act
96
1
If a person who appears to the Authority to fall within article 93(3) (member of a designated professional body) falls within paragraph (2) or (3), the Authority must not include him in the record or, if that person is already included in the record, must remove him from the record.
2
A person falls within this paragraph if, by virtue of a direction given by the Authority under section 328(1) of the Act (directions in relation to the general prohibition), section 327(1) of the Act does not apply in relation to the carrying on by him of any insurance mediation activity.
3
A person falls within this paragraph if the Authority has made an order under section 329(2) of the Act (orders in relation to the general prohibition) disapplying section 327(1) of the Act in relation to the carrying on by him of any insurance mediation activity.
.
PART 4
AMENDMENTS TO OTHER INSTRUMENTS MADE UNDER THE ACT
Amendment to the Appointed Representatives Regulations
14
1
The Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 are amended as follows.
2
In regulation 1(2) (interpretation), for “and “contractually based investment””, substitute, “,“contract of insurance”, “contract of general insurance” and “relevant investment””.
3
In regulation 2(1) (descriptions of business for which appointed representatives are exempt) —
a
before sub-paragraph (a), insert —
aa
an activity of the kind specified by article 21 of the Regulated Activities Order (dealing in investments as agent), where the transaction relates to a contract of general insurance;
;
b
in sub-paragraph (a) —
i
for “the Regulated Activities Order”, substitute “that Order”; and
ii
for “contractually based investments”, substitute “relevant investments”;
c
after sub-paragraph (ab) , insert —
ac
an activity of the kind specified by article 39A of that Order (assisting in the administration and performance of a contract of insurance), where the activity relates to a contract of general insurance;
; and
d
in sub-paragraph (d), for “paragraph (a), (ab),”, substitute “sub-paragraph (aa), (a), (ab), (ac)”.
4
In regulation 3 (requirements applying to contracts between authorised persons and appointed representatives) —
a
in paragraph (2) —
i
before sub-paragraph (a), insert —
aa
he enters into investment transactions as agent (in circumstances constituting the carrying on of an activity of the kind specified by article 21 of the Regulated Activities Order) for other counterparties;
;
ii
in sub-paragraph (a), for “the Regulated Activities Order”, substitute “that Order”;
iii
after sub-paragraph (a), insert —
ab
he assists in the administration and performance of a contract of insurance (in circumstances constituting the carrying on of an activity of the kind specified by article 39A of that Order) for other counterparties;
; and
iv
for “contractually based investment”, substitute “relevant investment”; and
b
after paragraph (3)(c), insert —
4
Where the contract between the principal and the representative permits or requires the representative to carry on business which includes an activity —
a
of the kind specified by article 21, 25, 39A or 53 of the Regulated Activities Order or an activity of the kind specified by article 64 of that Order, so far as relevant to any of those articles, and
b
which relates to a contract of insurance,
paragraph (5) applies.
5
Where this paragraph applies, it is also a prescribed requirement for the purposes of subsection (1)(a)(ii) of section 39 of the Act that the contract between the principal and the representative contain a provision providing that the representative is not permitted or required to carry on business, so far as it comprises an activity of the kind specified by paragraph (4), unless he is included in the record maintained by the Authority under section 347 of the Act by virtue of article 93 of the Regulated Activities Order (recorded insurance intermediaries).
.
Amendment to the Compensation Scheme: Electing Participants Regulations
15
1
The Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001 are amended as follows.
2
In regulation 1(2) (interpretation), after the definition of “home State investor-compensation scheme”, insert —
“insurance intermediary” means an insurance intermediary (within the meaning of Article 2(5) of the insurance mediation directive) or a reinsurance intermediary (within the meaning of Article 2(6) of that Directive);
.
3
In regulation 2 (persons not to be regarded as relevant persons) —
a
at the end of paragraph (a), omit “and”; and
b
after paragraph (b), insert —
; and
any insurance intermediary.
.
4
In regulation 3(1) (persons who may elect to participate) —
a
at the end of sub-paragraph (a), omit “and”; and
b
after sub-paragraph (b), insert —
; and
any insurance intermediary which is not an investment firm or a credit institution.
.
5
In regulation 4 (persons in respect of whom inspection under section 224 does not apply) —
a
at the end of paragraph (a), omit “and”; and
b
after paragraph (b), insert —
; and
any insurance intermediary.
.
Amendment to the Non-Exempt Activities Order
16
1
The Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001 is amended as follows.
2
In article 2(1) (interpretation) —
a
after the definition of “the Act”, insert —
“contract of insurance” has the meaning given by article 3(1) of the Regulated Activities Order;
;
b
after the definition of “occupational pension scheme”, insert —
“record of insurance intermediaries” means the record maintained by the Authority under section 347 of the Act (the public record) by virtue of article 93 of the Regulated Activities Order (recorded insurance intermediaries);
; and
c
for the definition of “relevant investment”, substitute —
“relevant investment” has the meaning given by article 3(1) of the Regulated Activities Order;
.
3
After article 4, insert —
4A
An activity of the kind specified by article 21 or 25 of the Regulated Activities Order (dealing in investments as agent or arranging deals in investments) in so far as it —
a
relates to a transaction for the sale or purchase of rights under a contract of insurance; and
b
is carried on by a person who is not included in the record of insurance intermediaries.
.
4
In article 5(1), for “relevant investment”, substitute “security or contractually based investment”.
5
After article 5, insert —
5A
An activity of the kind specified by article 39A of the Regulated Activities Order (assisting in the administration and performance of a contract of insurance) if it is carried on by a person who is not included in the record of insurance intermediaries.
.
6
In article 6 —
a
in paragraph (1), for “either paragraph (2) or (3)”, substitute “paragraph (2), (3) or (5)”;
b
in paragraph (2) —
i
in sub-paragraph (b), for “relevant investment” substitute “security or contractually based investment”;
ii
in sub-paragraph (c) —
aa
in sub-paragraph (i), for “relevant investment”, substitute “security or contractually based investment”; and
bb
in sub-paragraph (iii), for “a relevant investment”, substitute “such an investment”; and
c
after paragraph (4), insert —
5
Advice falls within this paragraph in so far as —
a
it relates to a transaction for the sale or purchase of rights under a contract of insurance; and
b
it is given by a person who is not included in the record of insurance intermediaries.
.
Misleading statements and practices
17
1
The Financial Services and Markets Act 2000 (Misleading Statements and Practices) Order 2001 is amended as follows.
2
In article 2 (interpretation) —
a
after the definition of “the Act”, insert —
“contract of insurance” has the meaning given by article 3(1) of the Regulated Activities Order;
; and
b
after the definition of “the Financial Promotion Order”, insert —
“Regulated Activities Order” means the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 ;
.
3
In article 3 —
a
in paragraph (d), for “the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001”, substitute “the Regulated Activities Order”; and
b
after paragraph (d), insert —
;
(so far as not already specified by paragraph (a)), an activity of the kind specified by —
article 14 of the Regulated Activities Order (dealing in investments as principal),
article 21 of that Order (dealing in investments as agent),
article 25(1) or (2) of that Order (arranging deals in investments),
article 39A of that Order (assisting in the administration and performance of a contract of insurance),
article 53 of that Order (advising on investments), or
so far as relevant to any of those articles, article 64 of that Order (agreeing),
so far as it relates to a contract of insurance.
.
Amendment to the By Way of Business Order
18
1
The Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001 is amended as follows.
2
In article 1(2) (interpretation), at the beginning of sub-paragraph (b), insert ““contract of insurance”,”.
3
In article 3 (investment business) —
a
in paragraph (1), for “this article applies”, substitute “paragraph (2) applies”;
b
in paragraph (2) —
i
for “This article”, substitute “This paragraph”; and
ii
for sub-paragraph (j), substitute —
j
article 64 (agreeing) so far as relevant to any of the articles mentioned in sub-paragraphs (a) to (i),
but does not apply to any insurance mediation activity.
;
c
in paragraph (3), for “This article”, substitute “Paragraph (1)”; and
d
after paragraph (3), insert —
4
A person is not to be regarded as carrying on by way of business any insurance mediation activity unless he takes up or pursues that activity for remuneration.
5
In this article, “insurance mediation activity” means any activity of the kind specified by article 21, 25(1) or (2), 39A or 53 of the Regulated Activities Order, or, so far as relevant to any of those articles, article 64 of that Order, which is carried on in relation to a contract of insurance.
.
PART 5
MISCELLANEOUS
Amendment of the threshold conditions
19
In paragraph 2 of Schedule 6 to the Act (threshold conditions: location of offices) —
a
at the beginning of sub-paragraph (1), insert “Subject to sub-paragraph (3),”; and
b
after sub-paragraph (2), insert —
3
If the regulated activity concerned is an insurance mediation activity, sub-paragraph (1) does not apply.
4
If the regulated activity concerned is an insurance mediation activity, the person concerned —
a
if he is a body corporate constituted under the law of any part of the United Kingdom, must have its registered office, or if it has no registered office, its head office, in the United Kingdom;
b
if he is a natural person, is to be treated for the purposes of sub-paragraph (2), as having his head office in the United Kingdom if his residence is situated there.
5
“Insurance mediation activity” means any of the following activities —
a
dealing in rights under a contract of insurance as agent;
b
arranging deals in rights under a contract of insurance;
c
assisting in the administration and performance of a contract of insurance;
d
advising on buying or selling rights under a contract of insurance;
e
agreeing to do any of the activities specified in sub-paragraph (a) to (d).
6
Paragraph (5) must be read with —
a
section 22;
b
any relevant order under that section; and
c
Schedule 2.
.
Amendment of section 49 of the Act
20
1
Section 49 of the Act (persons connected with an applicant for Part IV permission) is amended as follows.
2
In subsection (2)(a), after “EEA firm”, insert “(other than an EEA firm falling within paragraph 5(e) of Schedule 3 (insurance and reinsurance intermediaries))”.
3
After subsection (2), insert —
2A
But subsection (2) does not apply to the extent that the permission in question relates to an insurance mediation activity (within the meaning given by paragraph 2(5) of Schedule 6).
.
Controllers of insurance intermediaries
21
1
In any case where a person (“the acquirer”) —
a
proposes to take, in relation to a UK insurance intermediary (“A”), such a step as is mentioned in section 178(1) of the Act (obligation to notify the Authority of control over authorised persons), or
b
acquires control, an additional kind of control or an increase in a relevant kind of control over a UK insurance intermediary without himself taking any such step,
the acquirer is exempt from any obligation imposed by section 178 of the Act to notify the Authority of his proposal or acquisition unless paragraph (2) applies.
2
This paragraph applies —
a
where the acquirer falls within paragraph (1)(a), if the acquirer does not currently, but would if he took the proposed step, fall within any of the cases in paragraph (3); or
b
where the acquirer falls within paragraph (1)(b), if the acquirer did not immediately before acquiring control, but as a result of that acquisition does, fall within any of those cases.
3
The cases are where the acquirer —
a
holds 20% or more of the shares in A;
b
is able to exercise significant influence over the management of A by virtue of his shareholding in A;
c
holds 20% or more of the shares in a parent undertaking (“P”) of A;
d
is able to exercise significant influence over the management of P by virtue of his shareholding in P;
e
is entitled to exercise, or control the exercise of, 20% or more of the voting power in A;
f
is able to exercise significant influence over the management of A by virtue of his voting power in A;
g
is entitled to exercise, or control the exercise of, 20% or more of the voting power in P; or
h
is able to exercise a significant influence over the management of P by virtue of his voting power in P.
4
In paragraph (3), “the acquirer” means —
a
the acquirer;
b
any of the acquirer’s associates; or
c
the acquirer and any of his associates.
5
In any case where a controller of A —
a
proposes to take, in relation to A, such a step as is mentioned in section 190(1) of the Act (obligation to notify the Authority of a reduction in control over an authorised person), or
b
ceases to have, or reduces a relevant kind of, control over A without himself taking any such step,
the controller is exempt from any obligation imposed by subsection (1) or (2) of section 190 of the Act to notify the Authority unless paragraph (6) applies.
6
This paragraph applies if —
a
the percentage of shares held by the controller in A decreases (or would decrease) from 20% or more to less than 20%;
b
the percentage of shares held by the controller in a parent undertaking (“P”) of A decreases (or would decrease) from 20% or more to less than 20%;
c
the percentage of voting power which the controller is entitled to exercise, or control the exercise of, in A decreases (or would decrease) from 20% or more to less than 20%; or
d
the percentage of voting power which the controller is entitled to exercise, or control the exercise of, in P decreases (or would decrease) from 20% or more to less than 20%.
7
In paragraph (6), “the controller” means —
a
the controller;
b
any of the controller’s associates; or
c
the controller and any of his associates.
8
References in this article to acquiring control, or an additional kind of control, increasing control and reducing control are to be read with Part XII of the Act.
9
In this article —
“associate”, “shares” and “voting power” have the same meaning as in section 422 of the Act;
“UK insurance intermediary” means any UK authorised person (within the meaning of section 178(4) of the Act) who has Part IV permission to carry on any regulated activity of the kind specified by article 21, 25(1) or (2), 39A or 53 of the principal Order, or, so far as relevant to any of those articles, article 64 of that Order, which is carried on in relation to a contract of insurance, but who does not have Part IV permission to carry on any other regulated activity.
PART 6
TRANSITIONAL PROVISIONS
Interpretation
22
In this Part —
“commencement” means the beginning of 14th January 2005;
“general insurance mediation activity” means any regulated activity of the kind specified by article 21, 25(1) or (2), 39A or 53 of the principal Order, or, so far as relevant to any of those articles, article 64 of that Order, which is carried on in relation to a contract of insurance which is not —
a qualifying contract of insurance; or
a contract of long-term care insurance;
“long-term care insurance mediation activity” means any regulated activity of the kind specified by article 21, 25(1) or (2), 39A or 53 of the principal Order, or, so far as relevant to any of those articles, article 64 of that Order, which is carried on in relation to a contract of insurance which is a contract of long-term care insurance.
Applications for Part IV permission — general insurance mediation
23
1
This article applies to any completed application for Part IV permission which is made before 14th July 2004 by a person who is not an authorised person, to the extent that the application relates to any general insurance mediation activity (“an early Part IV application”).
2
Section 52(1) of the Act (applications to be determined by the Authority within six months) does not apply to early Part IV applications.
3
If the Authority has not determined an early Part IV application before the end of the period of six months beginning on the date on which it received the completed application, it must inform the applicant of the progress being made on the application (unless it has already done so).
4
In any event, the Authority must determine all early Part IV applications before 14th January 2005.
Application for approval — general insurance mediation
24
1
This article applies to any application made before 14th October 2004 under section 59 of the Act (approval of the performance of controlled functions) by a person who is not an authorised person for the Authority’s approval of the performance by a person of any controlled function (within the meaning of section 59(3) of the Act), to the extent that that function relates to the carrying on of any general insurance mediation activity (“an early Part V application”).
2
Section 61(3) of the Act (applications to be determined by the Authority within three months) does not apply to early Part V applications.
3
If the Authority has not determined an early Part V application before the end of the period of six months beginning on the date on which it received the application, it must inform the applicant of the progress being made on the application (unless it has already done so).
4
In any event, the Authority must determine all early Part V applications before 14th January 2005.
Applications for Part IV permission — long-term care insurance mediation
25
1
This article applies to any completed application for Part IV permission which is made before 30th April 2004 by a person who is not an authorised person, to the extent that the application relates to any long-term care insurance mediation activity (“an early Part IV long-term care application”).
2
Section 52(1) of the Act (applications to be determined by the Authority within six months) does not apply to early Part IV long-term care applications.
3
If the Authority has not determined an early Part IV long-term care application before the end of the period of six months beginning on the date on which it received the completed application, it must inform the applicant of the progress being made on the application (unless it has already done so).
4
In any event, the Authority must determine all early Part IV long-term care applications before 31st October 2004.
Application for approval — long-term care insurance mediation
26
1
This article applies to any application made before 31st July 2004 under section 59 of the Act (approval of the performance of controlled functions) by a person who is not an authorised person for the Authority’s approval of the performance by a person of any controlled function (within the meaning of section 59(3) of the Act), to the extent that that function relates to the carrying on of any long-term care insurance mediation activity (“an early Part V long-term care application”).
2
Section 61(3) of the Act (applications to be determined by the Authority within three months) does not apply to early Part V long-term care applications.
3
If the Authority has not determined an early Part V long-term care application before the end of the period of six months beginning on the date on which it received the application, it must inform the applicant of the progress being made on the application (unless it has already done so).
4
In any event, the Authority must determine all early Part V long-term care applications before 31st October 2004.
Modifications and waivers
27
1
Before commencement, section 148 of the Act (modification or waiver of rules) has effect as if the references to “authorised person” (except in subsection (9)) included a reference to a person who has Part IV permission to carry on any general insurance mediation activity or any long-term care insurance mediation activity, albeit that that permission is not in force.
2
To the extent that it relates to any general insurance mediation activity, any direction given by the Authority under section 148(2) of the Act as modified by paragraph (1) may not come into force before commencement.
3
To the extent that it relates to any long-term care insurance mediation activity, any such direction may not come into force before 31st October 2004.
Philip Woolas
John Heppell
Two of the Lords Commissioners of Her Majesty’s Treasury
5th June 2003


type: legislation

jurisdiction: UK

text:
Title, commencement and extent
1
1
These Regulations may be cited as the Feeding Stuffs (Amendment) Regulations 2003 and shall come into force on 1st May 2003.
2
Regulations 2 to 6, 13 and 15 shall extend to England only.
Amendment of the Feeding Stuffs Regulations 2000
2
The Feeding Stuffs Regulations 2000 shall be amended so far as they extend to England in accordance with regulations 3 to 6.
3
In regulation 2 (interpretation), immediately after the definition of “energy value” in paragraph (1) there shall be inserted the following definition —
“the Enforcement Directive” means Council Directive 95/53/EC fixing the principles governing the organisation of official inspections in the field of animal nutrition as amended by Council Directive 1999/20/EC , Directive 2000/77/EC of the European Parliament and of the Council and Directive 2001/46/EC of the European Parliament and of the Council ;
.
4
In each of regulations 7(1) and 25(1), for the expression “and the Feeding Stuffs (Amendment) Regulations 2002” there shall be substituted the expression “, the Feeding Stuffs (Amendment) Regulations 2002 and the Feeding Stuffs (Amendment) Regulations 2003”.
5
In regulation 14 (control of feeding stuffs and feed materials containing undesirable substances), for paragraph (9) there shall be substituted the following paragraph —
9
Where a person to whom the first paragraph of Article 16a of the Enforcement Directive applies has evidence that any feed material specified in column 2 of Chapter A of Part II of Schedule 7, which he has brought into England from a third country or put into circulation and which he holds or owns, contains any substance specified in column 1 of that Chapter in excess of the level specified in relation to it in column 3 of that Chapter, he shall —
a
notify the Agency and the authority which, by virtue of section 67(1), has the duty to enforce Part IV of the Act in relation to the feed material concerned; and
b
supply them with the information specified in the second paragraph of Article 16a of the Enforcement Directive.
.
6
In Schedule 3 (permitted additives and provisions relating to their use) —
a
for the footnote to Part VII of the Table (permitted preservatives) there shall be substituted the following footnote —
1
Note also that (as referred to in Part IX of this Table) one preservative is permitted by virtue of Commission Regulation (EC) No. 1594/1999 and one by Commission Regulation (EC) No. 1252/2002 .
; and
b
for the provisions in Part IX of the Table (European Community Regulations by which additives are controlled) there shall be substituted the provisions set out in the Schedule to these Regulations.
Amendment of the Feeding Stuffs (Enforcement) Regulations 1999
7
The Feeding Stuffs (Enforcement) Regulations 1999 shall be amended in accordance with regulations 8 to 14.
8
In paragraph (1) of regulation 2 (general interpretation) —
a
for the definition of “Directive 95/53” there shall be substituted the following definition —
“Directive 95/53” means Council Directive 95/53/EC fixing the principles governing the organisation of official inspections in the field of animal nutrition as amended by Council Directive 1999/20/EC , Directive 2000/77/EC of the European Parliament and of the Council and Directive 2001/46/EC of the European Parliament and of the Council;
; and
b
immediately after the definition of “product” there shall be inserted the following definition —
“put into circulation” means sold or otherwise supplied, or had in possession with a view to selling or otherwise supplying;
.
9
In paragraph (1) of regulation 3 (enforcement), for the expression “and (8) and requirements made under regulations 4(5)(a) and 6(1)(b)(i)” there shall be substituted the expression “(5)(a) and (8), 6(1)(b)(i), 6A and 6B”.
10
For paragraph (7) of regulation 4 (control of products brought into the United Kingdom from third countries) there shall be substituted the following paragraph —
7
For the purposes of paragraph (6) —
a
it shall be for the competent authority to determine in which of the ways specified in the indents of Article 8.2 of Directive 95/53 the importer is to deal with the product concerned; and
b
in making that determination the competent authority shall comply with the second sub-paragraph of that Article.
.
11
In regulation 6 —
a
for paragraph (2) there shall be substituted the following paragraph —
2
In complying with its duty under paragraph (1)(b)(i) the competent authority shall, where it considers that there is a serious risk of the kind referred to in regulation 6B(1), satisfy itself that the way selected cannot harm human or animal health or the environment.
; and
b
in paragraph (6), for the expression “, or make use of the right specified in the first paragraph, of Article 14 of Directive 95/53, as regards notification of the matters required to be notified, or, as the case may be, which may be notified under that Article” there shall be substituted the expression “of Article 14 of Directive 95/53 as regards the matters required to be notified under that Article”.
12
Immediately after regulation 6 there shall be inserted the following provisions —
Control of products brought into the United Kingdom from third countries or traded within the European Community
6A
1
Where a person to whom the first paragraph of Article 16a of Directive 95/53 applies has evidence that any product to which the second indent of that paragraph applies, which he has brought into the United Kingdom from a third country or put into circulation and which he holds or owns, does not comply with any provision specified in a Directive listed in Article 2.1(a) of that Directive, he shall —
a
notify the Food Standards Agency and the competent authority; and
b
supply them with the information specified in the second paragraph of Article 16a of that Directive.
2
Any person who fails to comply with paragraph (1) above shall be guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale.
6B
1
Where the competent authority has information indicating that a product presents a serious risk to human or animal health or to the environment, it shall give to the person in charge of the product notice in writing that, until the notice is withdrawn, the product or any specified part of it —
a
is not to be used in animal nutrition; and
b
either is not to be removed or is to be removed to a place specified by the authority,
and any person who knowingly contravenes the requirements of such a notice shall be guilty of an offence and liable —
c
on summary conviction to a fine not exceeding the statutory maximum, and
d
on conviction on indictment to a fine.
2
Where the competent authority gives notice in writing in accordance with paragraph (1), it shall as soon as reasonably practicable determine whether or not it considers that the product concerned fails to comply with a Community provision covered by Article 2.1(a) of Directive 95/53 and that there is a serious risk of the kind referred to in that paragraph, and —
a
if it does not so consider it shall forthwith withdraw the notice; and
b
if it does so consider it shall —
i
investigate the matter referred to in the second indent of Article 16b.1 of Directive 95/53, and
ii
to the extent necessary for the purpose of facilitating compliance with any requirement made pursuant to regulation 4(5) or 6(1), withdraw the notice.
3
Upon the product concerned being dealt with in accordance with any requirement made by the competent authority pursuant to regulation 4(5) or 6(1), or where the competent authority determines that no such requirement is to be made, it shall, to the extent that it has not already done so, withdraw the notice given in accordance with paragraph (1).
.
13
1
In each of the provisions specified in paragraph (2), for the expression “and the Feeding Stuffs (Amendment) Regulations 2002” there shall be substituted the expression “, the Feeding Stuffs (Amendment) Regulations 2002 and the Feeding Stuffs (Amendment) Regulations 2003”.
2
The provisions are regulations 7(2) and (4), the text of subsection (8) of section 67 of the Agriculture Act 1970 shown as modified by regulation 9 and the text of subsection (17) of section 76 of that Act shown as modified by regulation 10.
14
For paragraph (b) of regulation 12 (modification of section 83 of the Agriculture Act 1970) there shall be substituted the following provision —
b
for subsection (5) there were substituted the following subsection —
5
Subsection (4) of this section shall not prevent an inspector who has taken a sample of any material in the prescribed manner from disclosing —
a
to the manufacturer, or to the last seller or last supplier of the material, information as to the place where, and the person from whom, the sample was taken;
b
to that manufacturer, last seller or supplier, or to any person who had the material on his premises for the purpose of sale or supply, information as to the results of any analysis of that sample; or
c
any information the disclosure of which is necessary in order to prevent a serious risk to human health, animal health or the environment arising.
.
Amendment of the Feeding Stuffs (Establishments and Intermediaries) Regulations 1999
15
In paragraph (2) of regulation 2 (definition of “feedingstuff” and related definitions and general interpretation) of the Feeding Stuffs (Establishments and Intermediaries) Regulations 1999 , at the end of the definition of “Directive 95/53” there shall be added the words “, Directive 2000/77/EC of the European Parliament and of the Council and Directive 2001/46/EC of the European Parliament and of the Council”.
Signed by authority of the Secretary of State for Health
Hazel Blears
Parliamentary Under-Secretary of State,
Department of Health
3rd April 2003


text:
Citation, commencement and interpretation
1
1
This Scheme may be cited as the Personal Injuries (Civilians) Amendment Scheme 2003 and shall come into force on 7th April 2003.
2
In this Scheme, “the principal Scheme” means the Personal Injuries (Civilians) Scheme 1983 , and, except where the context otherwise requires, a reference to a numbered article, Part, Table or Schedule is to the article, Part, Table or Schedule in the principal Scheme which bears that number.
Amendments to the principal Scheme and application
2
The amendments to the principal Scheme contained in Schedule 1 to this Scheme shall have effect.
Signed by authority of the Secretary of State for Defence
Lewis Moonie
Parliamentary Under-Secretary of State Ministry of Defence
6th March 2003
We approve
Nick Ainger
Jim Fitzpatrick
Two of the Lord’s Commissioners of Her Majesty’s Treasury
7th March 2003


text:
Title and commencement
1
This Order may be cited as the New Forest (Confirmation of the Byelaws of the Verderers of the New Forest) Order 2003 and shall come into force on the day after the day on which it is made.
Confirmation of Byelaws
2
The byelaws of the Verderers of the New Forest set out in the Schedule to this Order are confirmed.
Revocation
3
The New Forest (Confirmation of the Byelaws of the Verderers of the New Forest) Order 1999 is revoked.
Alan Taylor
Head of Forestry, Soils and Uplands Division For and on behalf of the Secretary of State,
Department for Environment, Food and Rural Affairs
17th December 2003


text:
Citation and commencement
1
These Regulations may be cited as the Finance Act 2003, Schedule 26 Paragraph 3(3) (Designated Transactions) Regulations 2003 and shall come into force on 12th September 2003.
Designated transaction
2
1
In these Regulations “paragraph 3(3)” means paragraph 3(3) of Schedule 26 to the Finance Act 2003 (meaning of “investment transaction” for the purposes of determining whether a person is an agent of independent status in respect of investment transactions).
2
For the purposes of paragraph 3(3) a transaction falling within paragraph (3) is designated.
3
A transaction falls within this paragraph if it is a contract, not otherwise falling within paragraph 3(3), whose terms —
a
provide that —
i
after setting off their obligations to each other under the contract, a cash payment is to be made by one party to the other in respect of the excess, if any, or
ii
each party is liable to make to the other party one or more cash payments in respect of that party’s obligations to the other under the contract, and
b
do not provide for the delivery of any property other than currency.
This is subject to the following qualification.
4
A transaction does not fall within paragraph (3) if it is —
a
a contract which relates to land;
b
a contract of insurance; or
c
a contract effected in the course of capital redemption business within the meaning of section 458 of the Income and Corporation Taxes Act 1988 .
Joan Ryan
Jim Murphy
Two of the Lords Commissioners of Her Majesty’s Treasury
21st August 2003


text:
Title, commencement and extent
1
This Order may be cited as the Avian Influenza and Newcastle Disease (Contingency Planning) (England) Order 2003, comes into force on 28th August 2003 and extends to England only.
Applicability of section 14A of the Animal Health Act 1981
2
Section 14A of the Animal Health Act 1981 (National contingency plan) applies to avian influenza and Newcastle disease.
Ben Bradshaw
Parliamentary Under-Secretary of State,
Department for Environment, Food and Rural Affairs
6th August 2003


text:
Citation, commencement and application
1
These Regulations may be cited as the Education (Information About Individual Pupils) (England) (Amendment) Regulations 2003 and shall come into force on 14th January 2004.
2
These Regulations apply only in relation to schools in England.
Amendment
3
The Education (Information About Individual Pupils) (England) Regulations 2001 shall be amended in accordance with the following provision of these Regulations.
4
In paragraph 7 of Part 1 of the Schedule, after the words “Where the pupil has special educational needs,” there shall be inserted “the type of special educational needs that pupil has and”.
David Miliband
Minister of State
Department for Education and Skills
15th December 2003


text:
Title and commencement
1
1
This Order may be cited as the Horticultural Development Council (Amendment) Order 2003, and shall come into force on 1st April 2003.
2
In this Order “the principal Order ” means the Horticultural Development Council Order 1986 .
Amendment of the principal Order
2
The principal Order shall be amended in accordance with the following provisions of this Order.
3
In article 2 (interpretation), in paragraph (1) —
a
there shall be inserted before the definition of “compost” the following definitions —
“apple” and “pear” mean respectively any apple other than the varieties listed in Part I of Schedule I and any pear other than the varieties listed in Part II of that Schedule;
“apple or pear grower” means a person who carries on the trade or business of growing apples or pears for sale or for processing into an apple or pear product with a view to its sale, and occupies land of at least two hectares planted with at least 50 trees (whether apple or pear or both);
;
b
there shall be substituted for the definition of “grower” the following definition —
“grower” means —
a person, other than an apple or pear grower, who grows horticultural produce (excluding mushrooms) for sale, whose sales of such produce (excluding Value Added Tax and the cost of haulage and packing materials and, in those cases where the produce is prepared for market in rateable packhouses, any rates levied in respect of such packhouses) were not less than £25,000 during his relevant accounting year;
a mushroom grower; and
an apple or pear grower;
;
c
in the definition of “horticultural produce”, there shall be inserted before the words “Schedule 1” the words “Part III of”.
4
In article 4 (constitution of Council), in paragraph (1) there shall be substituted for the word “eleven” the word “twelve”.
5
In article 6 (register of growers), for paragraph (2) there shall be substituted the following paragraph —
2
The Council may enter on the register, in addition to the name and address of any registered grower —
a
any business name under which and the address of any place at which he carries on business in the industry, and the names of his partners in any such business,; and
b
where the registered grower is a company, the names and addresses of any directors of the company.
but no other information.
.
6
There shall be substituted for article 7 (registration of growers) the following article —
7
1
Every person who was registered as a grower under the Apple and Pear Research Council Order 1989 immediately before the dissolution of the Apple and Pear Research Council shall be registered as a grower in the register kept by the Horticultural Development Council.
2
Every person who on or after 31st March 2003 becomes a grower shall apply in writing to the Council to be registered within two months of the day on which he became a grower.
3
Where two or more persons jointly carry on business in the industry they shall, for the purpose of registration, be treated as constituting a single person.
.
7
In article 9 (charges for expenses) —
a
there shall be substituted for paragraph (1) the following paragraph —
1
For the purposes of enabling it to meet its expenses in the exercise of its functions and its administrative expenses the Council may, with the approval of the Ministers and subject to paragraphs (2), (3) and (3A), impose —
a
on each grower, other than an apple or pear grower or a mushroom grower, a charge for any levy period at a rate not exceeding 0.5 per cent of the value (excluding Value Added Tax) of his sales of horticultural produce during his relevant accounting year;
b
on each apple or pear grower either —
i
a charge for any levy period at a rate not exceeding £35 in respect of each hectare of land occupied by him during all or any part of that period for the purpose of business in the industry and planted with apple or pear trees, or
ii
where the average density of planting on any land so occupied is less than 125 trees per hectare and the grower so elects, a charge for any levy period in respect of every 50 trees at the rate of two-fifths of the charge which would otherwise be imposed under paragraph (i) of this sub-paragraph; and
c
on each mushroom grower a charge for any levy period at a rate not exceeding 15 pence per litre of spawn purchased for use in compost during his relevant accounting year.
;
b
after paragraph (3) there shall be inserted the following paragraph —
3A
For the purpose of calculating a charge imposed under paragraph (1)(b), headlands shall be included but fractions of less than one-tenth of a hectare or any remainder after the number of trees has been divided by 50 shall be ignored.
8
In article 12 (offences), in paragraph (1) there shall be inserted after the words “article 7(1)”, the words “or (2)”.
9
For Schedule 1 to the principal Order there shall be substituted the Schedule set out in the Schedule to this Order.
10
In Schedule 2 (functions of the Horticultural Development Council), after paragraph 3 there shall be added the following paragraphs —
4
Promoting the adoption of measures for securing safer and better working conditions, and the provision and improvement of amenities for persons employed, and promoting or undertaking inquiry as to such measures.
5
Promoting the production and marketing of standard products.
6
Promoting or undertaking research for improving arrangements for marketing and distributing products.
7
Promoting or undertaking research into matters relating to the consumption or use of goods and services supplied by the industry.
8
Promoting or undertaking arrangements for better acquainting the public in the United Kingdom with the goods and services supplied by the industry and methods of using them.
.
Saving
11
1
Notwithstanding the provisions of this Order, the provisions of the principal Order in force prior to the coming into force of this Order shall continue to apply in respect of levy periods ending prior to the coming into force of this Order.
2
In paragraph (1), “levy period” has the same meaning as in the principal Order.
Whitty
Parliamentary Under Secretary of State,
Department for Environment, Food and Rural Affairs
27th March 2003
D. Elis Thomas
Signed on behalf of the National Assembly for Wales, Presiding Officer
25th March 2003
We consent
Ross Finnie
A member of the Scottish Executive
26th March 2003