2017 No. 699
The Data Reporting Services Regulations 2017 (revoked)F1
Made
Laid before Parliament
Coming into force in accordance with regulation 1(2)
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F1PART 1Introductory Provisions
Citation and commencementF11
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InterpretationF12
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References to EU Regulations etcF12A
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CTP definition and conditionsF13
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Retained EU lawF14
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F1PART 2Authorisation of Data Reporting Services
Prohibition on provision of data reporting serviceF15
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Register of data reporting service providersF16
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Application for authorisation to provide a data reporting serviceF17
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Application for verification of compliance with these Regulations F18
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Conditions for authorisation to provide a data reporting serviceF19
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Determination of an application for authorisation to provide a data reporting serviceF110
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Cancellation of an authorisation to provide a data reporting serviceF111
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Variation of an authorisation to provide data reporting servicesF112
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Deemed authorisation to provide a data reporting serviceF112A
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Regulator responseF112B
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Period during which regulation 12A is to applyF112C
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F1PART 3Operating Requirements
Requirements for the management body of a data reporting service providerF113
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Conditions for an APAF114
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Conditions for a CTPF115
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Conditions for an ARMF116
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F1PART 4Administration and enforcement
F1CHAPTER 1The FCA
F1Functions of the FCA
Functions of the FCAF117
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Monitoring and enforcementF118
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Co-operation and consultationF119
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GuidanceF120
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Reporting requirementsF121
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F1Restrictions on authorisation
Restrictions on authorisation to carry on data reporting servicesF122
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F1Administrative sanctions
Public censureF123
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Financial penaltiesF124
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Warning noticeF125
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Decision noticeF126
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Statements of policyF127
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Statements of policy: procedureF128
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F1Offences
Misleading the FCAF129
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Breach of the prohibition on provision of data reporting serviceF130
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Restriction on penaltiesF131
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F1CHAPTER 2Application of the Act for the purposes of the Regulations
Application of Part 9 of the Act (hearings and appeals)F132
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Application of Part 11 of the Act (information gathering and investigations)F133
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Information given by an auditorF134
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Restrictions on disclosure of informationF135
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Application of Part 25 of the Act (injunctions and restitution)F136
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Application of Part 26 of the Act (notices)F137
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Application of Part 27 of the Act (offences)F138
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Application of section 413 of the Act (protected items)F139
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FCA: penalties, fees and exemption from liability in damagesF140
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F1CHAPTER 3Application of secondary legislation for the purposes of the Regulations
Service of noticesF141
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Disclosure of confidential informationF142
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Communications by auditorsF143
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F1PART 5Miscellaneous
Record keepingF144
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Reporting of infringementsF145
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Application to GibraltarF146
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Applications for authorisation and verification: CTP definition and conditionsF147
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ReviewF148
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Regulations revoked (5.4.2024) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 2 (with s. 1(4) and with savings and transitional provisions in S.I. 2024/107, regs. 38-43); S.I. 2023/1382, reg. 4(c)