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The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017

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Companies Act 2006

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9.—(1) The Companies Act 2006(1) is amended as follows.

(2) In section 474(1)(2) (minor definitions for Part 15), in the definition of “MiFID investment firm”—

(a)for the words from “Directive” to “2004” substitute “Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014”;

(b)at the end of paragraph (a) insert “and”; and

(c)for paragraphs (b) and (c) substitute—

(b)a company which is an exempt investment firm as defined by regulation 8 (meaning of “exempt investment firm” in Chapter 1) of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/XXXX);.

(3) In section 494A(3) (interpretation), in the definition of “transferable securities”, for “Directive 2004/39/EC” substitute “Directive 2014/65/EU”.

(4) In section 519A(2)(4) (meaning of “public interest company”, “non-public interest company” and “exempt reasons”), for “Directive 2004/39/EC” substitute “Directive 2014/65/EU”.

(5) In section 539(5) (minor definitions), in the definition of “MiFID investment firm”—

(a)for the words from “Directive” to “2004” substitute “Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014”;

(b)at the end of paragraph (a) insert “and”; and

(c)for paragraphs (b) and (c) substitute—

(b)a company which is an exempt investment firm as defined by regulation 8 (Meaning of “exempt investment firm” in Chapter 1) of the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/XXXX);.

(6) In section 853E(6)(6) (duty to notify trading status of shares) for the definition of “relevant market” substitute—

“relevant market” means—

(a)

a recognised investment exchange, as defined in section 285(1)(a) (exemption for recognised exemption exchanges and clearance houses) of the Financial Services and Markets Act 2000 (“the Act”); and

(b)

any other market which is a regulated market,

but not an overseas investment exchange, as defined by section 313 (interpretation of Part 18) of the Act...

(7) In section 1173 (minor definitions: general)—

(a)in subsection (1)(7)—

(i)in the definition of “regulated market” for the words from “Directive” to “4.1(14))” substitute “Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments (see Article 4.1.21))”;

(ii)in the definition of “transferable securities”, for “Directive 2004/39/EC” substitute “Directive 2014/65/EU”; and

(b)in subsection (2), in the definition of “regulated market”, for the words from “Council” to “field” substitute “Directive 2004/39/EC of the European Parliament and of the Council on markets in financial instruments”.

(8) In section 1241(3) (meaning of “registered third country auditor” and “UK-traded non-EEA company”)—

(a)in the definition of “regulated market”, for “Article 4.1(14) of Directive 2004/39/EC” substitute “Article 4.1.21 of Directive 2014/65/EU”; and

(b)in the definition of “transferable securities”, for “Article 4.1(18)” substitute “Article 4.1.44”.

(9) In paragraph 20A of Schedule 10 (recognised supervisory bodies)(8) in the definition of “transferable securities” for “Directive 2004/39/EC” substitute “Directive 2014/65/EU”.

(2)

Section 474(1) was amended by S.I. 2007/2932; there are other amendments but none is relevant.

(3)

Section 494A was inserted by S.I. 2016/649; there are amendments to this section but none is relevant.

(4)

Section 519A(2) was inserted by section 18(3) of the Deregulation Act 2015 (c.20) and amended by S.I. 2016/649.

(5)

Section 539 was amended by S.I. 2007/2932; there are other amendments but none is relevant.

(6)

Section 853E(6) was inserted by section 92 of the Small Business, Enterprise and Employment Act 2015 (c.26).

(7)

Subsection (1) was amended by S.I. 2015/980; there are other amendments but none is relevant.

(8)

Paragraph 20A was inserted by S.I. 2016/649.

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