The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 No. 504

1. Introductory Text

2. PART 1 Citation, commencement and interpretation

   1. 1. Citation and commencement

   2. 2. Interpretation

3. PART 2 Amendments to the Financial Services and Markets Act 2000

   1. 3. Amendments to the Financial Services and Markets Act 2000

4. PART 3 Amendments to the Companies Act 1989

   1. 4. Amendments to the Companies Act 1989

5. PART 4 Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001

   1. 5. Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001

6. PART 5 Designation of competent authorities and powers of FCA

   1. 6. Designation of competent authorities

   2. 7. Power of the FCA to require information

   3. 8. Applications, notifications and reports to FCA

   4. 9. Penalties and statements

   5. 10. Penalties under regulation 9: procedure

7. PART 6 Acquisition of control over recognised central counterparties

   1. 11. Interpretation of Part 6

   2. 12. Procedure in relation to proposed acquisition

   3. 13. Restriction notices

   4. 14. Orders for sale of shares

   5. 15. Offences

8. PART 6A Removal of directors of recognised central counterparties

   1. 15A. Removal of directors of recognised central counterparties

9. PART 7 Investigatory powers of ESMA with regard to trade repositories

   1. 15B. Interpretation

   2. 16. Records of telephone and data traffic: Article 62(1)(e) of the EMIR regulation

   3. 17. Inspections: Article 63 of the EMIR regulation

   4. 18. Retention of documents taken under regulation 17

   5. 19. Offences: Article 63 inspections

10. PART 8 Consequential amendments

    1. 20. Amendments to the Finance Act 1991

    2. 21. Amendment to the Pension Schemes Act 1993

    3. 22. Amendment to the Pension Schemes (Northern Ireland) Act 1993

    4. 23. Amendments to the Pensions Act 2004

    5. 24. Amendments to the Income Tax Act 2007

    6. 25. Amendments to the Banking Act 2009

    7. 26. Amendments to the Corporation Tax Act 2009

    8. 27. Amendment to the European Communities (Enforcement of Community Judgments) Order 1972

    9. 28. Amendment to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975

    10. 29. Amendments to the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979

    11. 30. Amendments to the Financial Markets and Insolvency Regulations 1991

    12. 31. Amendments to the Income Tax (Manufactured Overseas Dividends) Regulations 1993

    13. 32. Amendments to the Financial Markets and Insolvency (Settlement Finality) Regulations 1999

    14. 33. Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

    15. 34. Amendment to the Financial Services and Markets Act 2000 (Exemption) Order 2001

    16. 35. Amendments to the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

    17. 36. Amendments to the Uncertificated Securities Regulations 2001

    18. 37. Amendment to the Pension Protection Fund (PPF Ombudsman) Order (Northern Ireland) 2005

    19. 38. Amendment to the Pension Protection Fund (PPF Ombudsman) Order 2005

    20. 39. Amendment to the Financial Assistance Scheme (Appeals) Regulations 2005

    21. 40. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No.9) 2009

    22. 41. Amendments to the Investment Bank Special Administration Regulations 2011

    23. 42. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Eurex Clearing AG) Regulations 2011

    24. 43. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Central Counterparty Limited) Regulations 2011

    25. 44. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Multilateral Clearing Facility N.V.) Regulations 2011

    26. 45. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (LCH.Clearnet Limited) Regulations 2011

    27. 46. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (SIX X-CLEAR AG) Regulations 2011

    28. 47. Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Cassa Di Compensazione E Garanzia S.p.A.) Regulations 2011

    29. 48. Amendments to the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013

    30. 49. Amendment to the Payment to Treasury of Penalties (Enforcement Costs) Order 2013

11. PART 9 Transitional and saving provisions

    1. 50. Interpretation of Part 10

    2. 51. Information provided to or requested by FSA

    3. 52. Transitional and saving provisions: central counterparties

    4. 53. Further transitional provisions: EEA and third country central counterparties

    5. 54. Transitional and saving provisions: overseas persons

    6. 55. Transitional and saving provisions: designation orders under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999

    7. 55A. Transitional provisions: markets in financial instruments provisions

    8. 55B. Transitional provision: EMIR regulation

12. PART 10 Miscellaneous

    1. 56. Warning notices and decision notices

    2. 57. Offences

    3. 58. References to the Tribunal

    4. 59. Scotland

    5. 60. Review

13. Signature

14. 1. SCHEDULE

       Section 191 of the Companies Act 1989: index of defined expressions

15. Explanatory Note