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The Data Reporting Services Regulations 2017

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This is the original version (as it was originally made).

  1. Introductory Text

  2. PART 1

    1. 1.Citation and commencement

    2. 2.Interpretation

    3. 3.CTP definition and conditions

    4. 4.Directly applicable EU regulations

  3. PART 2

    1. 5.Prohibition on provision of data reporting service

    2. 6.Register of data reporting service providers

    3. 7.Application for authorisation to provide a data reporting service

    4. 8.Application for verification of compliance with Title V of the markets in financial instruments directive

    5. 9.Conditions for authorisation to provide a data reporting service

    6. 10.Determination of an application for authorisation to provide a data reporting service

    7. 11.Cancellation of an authorisation to provide a data reporting service

    8. 12.Variation of an authorisation to provide data reporting services

  4. PART 3

    1. 13.Requirements for the management body of a data reporting service provider

    2. 14.Conditions for an APA

    3. 15.Conditions for a CTP

    4. 16.Conditions for an ARM

  5. PART 4

    1. CHAPTER 1

      1. Functions of the FCA

        1. 17.Functions of the FCA

        2. 18.Monitoring and enforcement

        3. 19.Co-operation and consultation

        4. 20.Guidance

        5. 21.Reporting requirements

      2. Restrictions on authorisation

        1. 22.Restrictions on authorisation to carry on data reporting services

      3. Administrative sanctions

        1. 23.Public censure

        2. 24.Financial penalties

        3. 25.Warning notice

        4. 26.Decision notice

        5. 27.Statements of policy

        6. 28.Statements of policy: procedure

      4. Offences

        1. 29.Misleading the FCA

        2. 30.Breach of the prohibition on provision of data reporting service

        3. 31.Restriction on penalties

    2. CHAPTER 2

      1. 32.Application of Part 9 of the Act (hearings and appeals)

      2. 33.Application of Part 11 of the Act (information gathering and investigations)

      3. 34.Information given by an auditor

      4. 35.Restrictions on disclosure of information

      5. 36.Application of Part 25 of the Act (injunctions and restitution)

      6. 37.Application of Part 26 of the Act (notices)

      7. 38.Application of Part 27 of the Act (offences)

      8. 39.Application of section 413 of the Act (protected items)

      9. 40.FCA: penalties, fees and exemption from liability in damages

    3. CHAPTER 3

      1. 41.Service of notices

      2. 42.Disclosure of confidential information

      3. 43.Communications by auditors

  6. PART 5

    1. 44.Record keeping

    2. 45.Reporting of infringements

    3. 46.Application to Gibraltar

    4. 47.Applications for authorisation and verification: CTP definition and conditions

    5. 48.Review

  7. Signature

  8. Explanatory Note

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