Chwilio Deddfwriaeth

Chwiliad Uwch

The Recognised Auction Platforms Regulations 2011

Status:

Dyma’r fersiwn wreiddiol (fel y’i gwnaed yn wreiddiol).

  1. Introductory Text

  2. PART 1 General

    1. 1.Citation, commencement and interpretation

  3. PART 2 Recognised Auction Platforms

    1. 2.Recognition orders

    2. 3.Authority’s power to give directions

    3. 4.Revoking recognition

    4. 5.Procedure

    5. 6.Market abuse on auction platforms

    6. 7.Application of certain provisions of the Act with modifications

    7. 8.Application of Chapter 3A of Part 18 of the Act with modifications

  4. PART 3 The Authority

    1. 9.Functions of the Authority

  5. PART 4 Amendments to secondary legislation

    1. 10.Amendment of the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001

    2. 11.Amendment of the Money Laundering Regulations 2007

  6. PART 5 Auction Recognition Requirements

    1. 12.Interpretation

    2. 13.Method of satisfying auction recognition requirements

    3. 14.Financial resources

    4. 15.Suitability

    5. 16.Systems and controls

    6. 17.Safeguards for investors

    7. 18.Promotion and maintenance of standards

    8. 19.Rules and consultation

    9. 20.Access to auctions

    10. 21.Choice of settlement facilities

    11. 22.Discipline

    12. 23.Complaints

  7. PART 6 Review

    1. 24.Review

  8. Signature

    1. SCHEDULE 1

      Modifications of Part 8 of the Act in relation to behaviour related to auction platforms

      1. 1.Section 118 has effect as if— (a) in subsection (1)(a),...

      2. 2.Section 118A has effect as if —

      3. 3.Section 118B has effect as if— (a) the existing provision...

      4. 4.Section 118C has effect as if— (a) in subsection (2)—...

      5. 5.Section 119 has effect as if in subsection (2)(d) and...

      6. 6.Section 124 has effect as if in subsection (2), after...

      7. 7.Section 130A has effect as if— (a) in subsection (1)—...

    2. SCHEDULE 2

      Modifications of Part 18 of the Act in relation to recognised auction platforms

      1. 1.In section 285(2), reference to the exchange’s business as an...

      2. 2.In section 291(3), reference to the obligations to which the...

      3. 3.In section 292A— (a) in subsection (1) reference to a...

      4. 4.In section 293, in subsection (6)(a), reference to transactions effected...

      5. 5.In section 293A, reference to any directly applicable Community regulation...

      6. 6.In section 299(2), reference to whether the body concerned should...

      7. 7.In section 300— (a) in subsection (1)(a), reference to a...

      8. 8.In section 301F(4), reference to any financial market operated by...

      9. 9.Sections 290A, 300A to 300E, and sections 302 to 310...

    3. SCHEDULE 3

      Modifications of Chapter 3A of Part 18 of the Act in relation to recognised auction platforms and EEA market operators of auction platforms

      1. 1.In section 312A— (a) in subsection (1), reference to a...

      2. 2.In section 312B— (a) in subsection (1), reference to a...

      3. 3.In section 312C— (a) in subsection (1), reference to a...

      4. 4.In section 312D, the definition of “applicable provision” shall be...

  10. Explanatory Note

Yn ôl i’r brig

Options/Help

Print Options

Close

Mae deddfwriaeth ar gael mewn fersiynau gwahanol:

Y Diweddaraf sydd Ar Gael (diwygiedig):Y fersiwn ddiweddaraf sydd ar gael o’r ddeddfwriaeth yn cynnwys newidiadau a wnaed gan ddeddfwriaeth ddilynol ac wedi eu gweithredu gan ein tîm golygyddol. Gellir gweld y newidiadau nad ydym wedi eu gweithredu i’r testun eto yn yr ardal ‘Newidiadau i Ddeddfwriaeth’.

Gwreiddiol (Fel y’i Deddfwyd neu y’i Gwnaed): Mae'r wreiddiol fersiwn y ddeddfwriaeth fel ag yr oedd pan gafodd ei deddfu neu eu gwneud. Ni wnaed unrhyw newidiadau i’r testun.

Close

Dewisiadau Agor

Dewisiadau gwahanol i agor deddfwriaeth er mwyn gweld rhagor o gynnwys ar y sgrin ar yr un pryd

Close

Memorandwm Esboniadol

Mae Memoranda Esboniadol yn nodi datganiad byr o ddiben Offeryn Statudol ac yn rhoi gwybodaeth am ei amcan polisi a goblygiadau polisi. Maent yn ceisio gwneud yr Offeryn Statudol yn hygyrch i ddarllenwyr nad oes ganddynt gymhwyster cyfreithiol, ac maent yn cyd-fynd ag unrhyw Offeryn Statudol neu Offeryn Statudol Drafft a gyflwynwyd ger bron y Senedd o Fehefin 2004 ymlaen.

Close

Rhagor o Adnoddau

Gallwch wneud defnydd o ddogfennau atodol hanfodol a gwybodaeth ar gyfer yr eitem ddeddfwriaeth o’r tab hwn. Yn ddibynnol ar yr eitem ddeddfwriaeth sydd i’w gweld, gallai hyn gynnwys:

  • y PDF print gwreiddiol y fel deddfwyd fersiwn a ddefnyddiwyd am y copi print
  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • manylion rhoi grym a newid cyffredinol
  • pob fformat o’r holl ddogfennau cysylltiedig
  • slipiau cywiro
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill
Close

Asesiadau Effaith

Impact Assessments generally accompany all UK Government interventions of a regulatory nature that affect the private sector, civil society organisations and public services. They apply regardless of whether the regulation originates from a domestic or international source and can accompany primary (Acts etc) and secondary legislation (SIs). An Impact Assessment allows those with an interest in the policy area to understand:

  • Why the government is proposing to intervene;
  • The main options the government is considering, and which one is preferred;
  • How and to what extent new policies may impact on them; and,
  • The estimated costs and benefits of proposed measures.
Close

Rhagor o Adnoddau

Defnyddiwch y ddewislen hon i agor dogfennau hanfodol sy’n cyd-fynd â’r ddeddfwriaeth a gwybodaeth am yr eitem hon o ddeddfwriaeth. Gan ddibynnu ar yr eitem o ddeddfwriaeth sy’n cael ei gweld gall hyn gynnwys:

  • y PDF print gwreiddiol y fel gwnaed fersiwn a ddefnyddiwyd am y copi print
  • slipiau cywiro

liciwch ‘Gweld Mwy’ neu ddewis ‘Rhagor o Adnoddau’ am wybodaeth ychwanegol gan gynnwys

  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • manylion rhoi grym a newid cyffredinol
  • pob fformat o’r holl ddogfennau cysylltiedig
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill