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The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019

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  1. Introductory Text

  2. PART 1 Introduction

    1. 1.Citation and commencement

    2. 2.Interpretation

  3. PART 2 Amendment of subordinate legislation

    1. 3.Amendment of the Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016

  4. PART 3 Amendment of retained direct EU legislation

    1. 4.Amendment of the SFT regulation

    2. 5.(1) In Articles 2 to 20, for “Union” in each...

    3. 6.In Article 2— (a) in paragraph 1—

    4. 7.In Article 3— (a) in paragraph (3), for points (a)...

    5. 8.In Article 4— (a) for paragraph (5) substitute—

    6. 9.In Article 5— (a) in paragraph (7)—

    7. 10.Omit Article 6.

    8. 11.In Article 8— (a) in paragraph (1) omit the second...

    9. 12.Omit Article 9.

    10. 13.For Article 10 substitute— Article 10 Withdrawal of registration The FCA may, on its own initiative, withdraw the registration...

    11. 14.In Article 11— (a) in paragraph (1)—

    12. 15.In Article 12— (a) in paragraph (2)—

    13. 16.In Article 13— (a) in paragraph (1)—

    14. 17.In Article 14— (a) in paragraph (1)—

    15. 18.In Article 15— (a) in paragraph (1), for “Article 5...

    16. 19.Omit Articles 16 and 17.

    17. 20.In Article 18— (a) in paragraph (2)—

    18. 21.In Article 19— (a) for “The Commission” in each place...

    19. 22.In Article 21— (a) for “The Commission” in each place...

    20. 23.For Article 22 substitute— Article 22 Regulations: general provisions Any power to make regulations conferred on the Treasury by...

    21. 24.Omit Articles 23 to 32.

  5. PART 4 SPECIFIC PROVISION FOR TRADE REPOSITORIES

    1. CHAPTER 1 PRELIMINARY

      1. 25.Interpretation of Part 4

    2. CHAPTER 2 ENFORCEMENT PROVISIONS RELATING TO TRADE REPOSITORIES

      1. 26.Warning notice

      2. 27.Decision notice

      3. 28.Public censure

      4. 29.Financial penalties

      5. 30.Statement of policy

      6. 31.Statement of policy: procedure

      7. 32.Powers to issue guidance

      8. 33.Injunctions

    3. CHAPTER 3 APPLICATION OF THE FSMA FOR THE PURPOSES OF THIS PART, THE SFT REGULATION AND THE TRATP REGULATIONS

      1. 34.Application of Part 9 of the FSMA (hearings and appeals)

      2. 35.Application of Part 9A of the FSMA (rules and guidance)

      3. 36.Application of Part 11 of the FSMA (information gathering and investigations)

      4. 37.Application of Part 26 of the FSMA (notices)

      5. 38.Application of Part 27 of the FSMA (offences)

      6. 39.Application of Schedule 1ZA to the FSMA (the Financial Conduct Authority)

  6. Signature

  7. Explanatory Note

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