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The Data Reporting Services Regulations 2023

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Draft Legislation:

This is a draft item of legislation. This draft has since been made as a UK Statutory Instrument: The Data Reporting Services Regulations 2024 No. 107

  1. Introductory Text

  2. PART 1 Introductory Provisions

    1. 1.Citation, commencement and extent

    2. 2.Interpretation

  3. PART 2 Authorisation of Data Reporting Services

    1. 3.Prohibition on the provision of a data reporting service

    2. 4.Register of data reporting service providers

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

    4. 6.Direction to tender

    5. 7.Verification of compliance

    6. 8.Conditions for authorisation to provide a data reporting service

    7. 9.Determination of an application for authorisation to provide a data reporting service

    8. 10.Cancellation of an authorisation to provide a data reporting service

    9. 11.Variation of an authorisation to provide data reporting services

  4. PART 3 Administration and enforcement

    1. CHAPTER 1 The FCA

      1. Functions of the FCA

        1. 12.Consulting the Bank of England

        2. 13.Restrictions on authorisation to carry on data reporting services

        3. 14.Breach of the prohibition on the provision of a data reporting service

    2. CHAPTER 2 Application of FSMA 2000 for the purposes of the Regulations

      1. 15.FCA’s general duties

      2. 16.Supervision, monitoring and enforcement

      3. 17.Application of Part 9 of FSMA 2000 (hearings and appeals)

      4. 18.Application of Part 11 of FSMA 2000 (information gathering and investigations)

      5. 19.Disciplinary measures

      6. 20.Information given by an auditor

      7. 21.Restrictions on disclosure of information

      8. 22.Application of Part 25 of FSMA 2000 (injunctions and restitution)

      9. 23.Application of Part 26 of FSMA 2000 (notices)

      10. 24.Application of Part 27 of FSMA 2000 (offences)

      11. 25.Application of section 413 of FSMA 2000 (protected items)

      12. 26.Application of section 415AA of FSMA 2000 (application of powers to formerly authorised persons)

      13. 27.FCA: penalties, fees and exemption from liability in damages

    3. CHAPTER 3 Application of secondary legislation for the purposes of the Regulations

      1. 28.Service of notices

      2. 29.Disclosure of confidential information

      3. 30.Communications by auditors

  5. PART 4 Amendment of primary and secondary legislation

    1. 31.Amendment of FSMA 2000

    2. 32.Amendment of the Financial Services and Markets Act 2000 (Recognition requirements for Investment Exchanges, Clearing Houses and Central Securities Depositaries) Regulations 2001

    3. 33.Amendment of the Financial Services Act 2012 (Relevant Functions in relation to Complaints Scheme) Order 2014

    4. 34.Amendment of the Public Interest Disclosure (Prescribed Persons) Order 2014

    5. 35.Amendment of the Public Interest Disclosure (Prescribed Persons) Order (Northern Ireland) 1999

  6. PART 5 Amendment of assimilated legislation

    1. 36.Amendment of the markets in financial instruments regulation

    2. 37.Amendment of Commission Delegated Regulation (EU) 2017/565

  7. PART 6 Transitional and saving provision

    1. 38.The register

    2. 39.Authorisation and verification under the 2017 Regulations

    3. 40.Undetermined applications

    4. 41.References to the Tribunal

    5. 42.Administration and determinations

    6. 43.In this Part, reference to a final determination made in...

  8. Signature

  9. Explanatory Note

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