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The Financial Services and Markets Act 2000 (Markets in Financial Instruments) (No.2) Regulations 2017

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Financial Services and Markets Act 2000

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3.—(1) The Financial Services and Markets Act 2000 is amended as follows.

(2) In section 129(1) (power of court to impose administrative sanctions in cases of market abuse)—

(a)in the opening words of subsection (1) for the words “sections 380 to 383 which relates to a market abuse requirement” substitute “Part 25 which relates to the market abuse regulation”;

(b)in subsection (7) omit the definition of “market abuse requirement”; and

(c)after subsection (8) insert—

“(9) An application under Part 25 relates to the market abuse regulation if—

(a)it is made under section 380 or 382 and the relevant requirement for the purposes of that section is a requirement imposed by the market abuse regulation or a supplementary EU regulation; or

(b)it is made under section 381 or 383.”.

(3) In section 165A(9)(b) for “4.1(17)” substitute “4.1(15)”.

(4) For section 168(4)(jb)(2) (appointment of persons to carry out investigations in particular cases) substitute—

“(jb)a person may have contravened—

(i)any provision made by or under this Act for the purposes of the market abuse regulation; or

(ii)a requirement imposed on that person under sections 122A to 122C, 122G to 122I, 123A or 123B;

(jc)a person may have been knowingly concerned in the contravention of—

(i)a provision of the market abuse regulation other than Article 14 (prohibition of insider dealing) or 15 (prohibition of market manipulation) of that regulation; or

(ii)a directly applicable EU regulation made under the market abuse regulation; or”.

(1)

Section 129 was substituted by S.I. 2016/680.

(2)

Paragraph (jb) was inserted by S.I. 2016/680.

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