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The Proxy Advisors (Shareholders’ Rights) Regulations 2019

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

Permitted disclosure of confidential information

29.—(1) The following provisions of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001(1) (“the 2001 Regulations”) apply with respect to information received under these Regulations or under the Act as applied by these Regulations—

(a)regulation 2 (interpretation) so far as necessary for the interpretation of the other provisions applied by this paragraph(2);

(b)Part 2 (disclosure of confidential information generally);

(c)Part 4 (disclosure of confidential information not subject to single market restrictions);

(d)Schedule 1 (disclosure of confidential information whether or not subject to single market restrictions) so far as it has effect for the purposes of Part 4;

(e)Schedule 2 (disclosure of confidential information not subject to single market restrictions) so far as it has effect for the purposes of Part 4; and

(f)Schedule 3 (prescribed disciplinary proceedings).

(2) For the purposes of paragraph (1), Part 1 of Schedule 1 to the 2001 Regulations has effect with the following modifications—

(a)the entry for the FCA is to be read as if the reference in the second column to the functions conferred on it by or under the Act included a reference to the functions conferred on it by these Regulations or by or under the Act as applied by these Regulations; and

(b)the entry for the Comptroller and Auditor General is to be read as if the reference in the second column to the FCA’s functions included a reference to its functions under these Regulations or under the Act as applied by these Regulations.

(1)

S.I. 2001/2188, as amended by S.I. 2013/472. There are other amendments, but they are not relevant.

(2)

See definitions of “the Act”, “disciplinary proceedings authority”, “prescribed disciplinary proceedings” and “regulators”.

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