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The Proxy Advisors (Shareholders’ Rights) Regulations 2019

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  1. Introductory Text

  2. PART 1 General

    1. 1.Citation and commencement

    2. 2.Interpretation

  3. PART 2 Transparency requirements in relation to proxy advisors

    1. 3.Code of conduct of proxy advisors

    2. 4.Information giving assurance about the accuracy and reliability of advice

    3. 5.Conflicts of interest

    4. 6.Obligation to collect and update information

  4. PART 3 Functions of the FCA in relation to proxy advisors

    1. 7.Interpretation of Part

    2. 8.Functions of the FCA

    3. 9.Notice of inability or failure to comply with a relevant requirement

    4. 10.Complaints

    5. 11.Public censure

    6. 12.Financial penalties

    7. 13.Warning notice

    8. 14.Decision notice

    9. 15.Matters to which FCA must have regard in relation to imposition of penalties

    10. 16.Statement of policy on imposition of penalties

    11. 17.Statement of policy on imposition of penalties: procedure

    12. 18.Misleading the FCA

    13. 19.Restriction on penalties

  5. PART 4 Application of provisions of the Act for the purposes of Part 3

    1. 20.General provision

    2. 21.Hearings and appeals

    3. 22.Application of Part 11 of the Act

    4. 23.Information given by an auditor

    5. 24.Restrictions on disclosure of information

    6. 25.Application of Part 25 of the Act

    7. 26.Application of Part 26 of the Act

    8. 27.Application of Part 27 of the Act

    9. 28.Application of Schedule 1ZA to the Act: penalties, fees and exemption from liability in damages

  6. PART 5 Application of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

    1. 29.Permitted disclosure of confidential information

  7. PART 6 Public list of proxy advisors

    1. 30.Interpretation

    2. 31.Public list of proxy advisors

    3. 32.Removal of a proxy advisor from the public list

  8. Signature

  9. Explanatory Note

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