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Financial Services and Markets Act 2000

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This is the original version (as it was originally enacted).

165Authority’s power to require information

This section has no associated Explanatory Notes

(1)The Authority may, by notice in writing given to an authorised person, require him—

(a)to provide specified information or information of a specified description; or

(b)to produce specified documents or documents of a specified description.

(2)The information or documents must be provided or produced—

(a)before the end of such reasonable period as may be specified; and

(b)at such place as may be specified.

(3)An officer who has written authorisation from the Authority to do so may require an authorised person without delay—

(a)to provide the officer with specified information or information of a specified description; or

(b)to produce to him specified documents or documents of a specified description.

(4)This section applies only to information and documents reasonably required in connection with the exercise by the Authority of functions conferred on it by or under this Act.

(5)The Authority may require any information provided under this section to be provided in such form as it may reasonably require.

(6)The Authority may require—

(a)any information provided, whether in a document or otherwise, to be verified in such manner, or

(b)any document produced to be authenticated in such manner,

as it may reasonably require.

(7)The powers conferred by subsections (1) and (3) may also be exercised to impose requirements on—

(a)a person who is connected with an authorised person;

(b)an operator, trustee or depositary of a scheme recognised under section 270 or 272 who is not an authorised person;

(c)a recognised investment exchange or recognised clearing house.

(8)“Authorised person” includes a person who was at any time an authorised person but who has ceased to be an authorised person.

(9)“Officer” means an officer of the Authority and includes a member of the Authority’s staff or an agent of the Authority.

(10)“Specified” means—

(a)in subsections (1) and (2), specified in the notice; and

(b)in subsection (3), specified in the authorisation.

(11)For the purposes of this section, a person is connected with an authorised person (“A”) if he is or has at any relevant time been—

(a)a member of A’s group;

(b)a controller of A;

(c)any other member of a partnership of which A is a member; or

(d)in relation to A, a person mentioned in Part I of Schedule 15.

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