2001 No. 2188

FINANCIAL SERVICES AND MARKETS

The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Made
15th June 2001
Laid before Parliament
15th June 2001
Coming into force
18th June 2001
The Treasury, in exercise of the powers conferred on them by sections 349(1)(b), (2) and (3), 417(1) , 426, 427 and 428(3) of the Financial Services and Markets Act 2000 , hereby make the following Regulations—
PART I

PRELIMINARY

Citation and Commencement
1
These Regulations may be cited as the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 and come into force on 18th June 2001.

Interpretation
2
In these Regulations—
- “ACER” means the Agency for the Cooperation of Energy Regulators established by Regulation
(EC) No. 713/2009
of the European Parliament and of the Council of 13 July 2009 establishing an Agency for the Cooperation of Energy Regulators
;
- “the Act" means the Financial Services and Markets Act 2000;
- “
assimilated law restrictions
” means the restrictions imposed on the disclosure of confidential information by the relevant provisions, and (excluding those specified at paragraphs (h) and (j) of that definition) as they had effect immediately before IP completion day, and as modified as follows—
  1. requirements imposed on a Member State or an EU entity are to be read as if they are requirements imposed on the United Kingdom or, where relevant, a primary recipient;
  2. a restriction on the disclosure of confidential information to a person in a third country applies to any disclosure of confidential information to any person in a country or territory outside the United Kingdom;
  3. a requirement to seek the consent of an EU entity only applies where an equivalent requirement applies in relation to an equivalent entity in a third country; and
  4. for the purposes of sub-paragraph (b) a reference to a person in a third country, which is a third country regulatory authority, is to be read as including an ESA and the ESRB;
...
- “capital requirements directive information” means confidential information received by the PRA—
  1. before IP completion day in the course of discharging its functions as the competent authority under the capital requirements directive;
  2. after IP completion day in the course of exercising its functions in or under the Act or
assimilated
law which functions are equivalent to the functions as the competent authority set out in the capital requirements directive;
- “
CCP
” has the meaning given in paragraph 154 of Schedule 11 to the Financial Services and Markets Act 2023;
- “
competent authority
” includes a supervisory authority
that has the same meaning as in regulation 2(1) of the Solvency 2 Regulations 2015
;
- “
conglomerates directive
” means Directive
2002/87/EC
of the European Parliament and of the Council of 16th December 2002 on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives
73/239/EEC
,
79/267/EEC
,
92/49/EEC
,
92/96/EEC
,
93/6/EEC
,
93/22/EEC
, and Directives
98/78/EC
and
2000/12/EC
of the European Parliament and of the Council
as last amended by Directive 2011/89/EU of the European Parliament and of the Council
;
- “criminal investigation" means an investigation of any crime, including an investigation of any alleged or suspected crime and an investigation of whether a crime has been committed;
.........
- “disciplinary proceedings authority" means a person responsible for initiating prescribed disciplinary proceedings or determining the outcome of such proceedings;
... ......
- EMIR information” means confidential information received by one of the regulators in the course of discharging its functions as a competent authority under the EMIR regulation;
- “the EMIR regulation” means Regulation (EU) 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories;
- “ESRB” means the European Systemic Risk Board established by Regulation (EU) No. 1092/2010 of the European Parliament and the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board;
- “ESAs” means the European Supervisory Authorities established by Regulation (EU) No. 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), Regulation (EU) No. 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority) and Regulation (EU) No. 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority);
- “
EU Benchmarks Regulation 2016
” means Regulation EU 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives
2008/48/EC
and 2014/17/EU and Regulation (EU) No 596/2014;
- “
EU entity
” has the meaning given in section 20(1) of the European Union (Withdrawal) Act 2018;
- “
EU Benchmarks Regulation 2016 information
” means information received by the FCA in the course of discharging its functions as a competent authority under the EU Benchmarks Regulation 2016;
...
- “
foreign lawyer
” means a person who is a member of a legal profession regulated within a jurisdiction outside England and Wales, Scotland or Northern Ireland, and is entitled to practise as such;
- “former regulated activities" means activities carried on before the coming into force of section 19 of the Act and which constitute—
  1. investment business within the meaning of the Financial Services Act 1986 ;
  2. deposit-taking business within the meaning of the Banking Act 1987 ;
  3. insurance business within the meaning of the Insurance Companies Act 1982 ; or
  4. insurance business within the meaning of the Friendly Societies Act 1992 ;
- “former regulated person" means a person who, at any time before the coming into force of section 19 of the Act, was—
  1. authorised under section 3 or 4 of the Insurance Companies Act 1982;
  2. an authorised person within the meaning of the Financial Services Act 1986, or an appointed representative within the meaning of section 44 (appointed representatives) of that Act;
  3. an authorised institution within the meaning of the Banking Act 1987;
  4. a European institution within the meaning of the Banking Coordination (Second Council Directive) Regulations 1992 ;
  5. a European investment firm within the meaning of the Investment Services Regulations 1995 ;
  6. an EC company within the meaning of the Insurance Companies Act 1982 able to carry on direct insurance business through a branch in the United Kingdom, or provide insurance in the United Kingdom by virtue of paragraph 1 or 8 of Schedule 2F to that Act ;
  7. a friendly society authorised or treated as authorised for the purposes of Part IV of the Friendly Societies Act 1992, or permitted by virtue of section 31(2) or (3) of that Act to carry on activities without authorisation under that Part; or
  8. a building society authorised or treated as authorised for the purposes of the Building Societies Act 1986 ;
...
- “
market in financial instruments information
” means confidential information received by the FCA or the PRA in the course of discharging their functions under—
  1. the markets in financial instruments regulation;
  2. EU tertiary legislation (within the meaning of section 20 of the European Union (Withdrawal) Act 2018) made under—
    1. the markets in financial instruments directive which forms part of
assimilated
law; and
    2. the markets in financial instruments regulation;
  3. the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017; or
  4. the Act, which correspond to functions under the markets in financial instruments directive;
... .........
- “PRA worker” means—
  1. a person who is or has been employed by the PRA; or
  2. an auditor or expert instructed by the PRA;
- “prescribed disciplinary proceedings" means the disciplinary proceedings prescribed in Schedule 3;
- “
PRA rules
” means the rules made by the PRA under the Act as they have effect from time to time;
...
- “
recovery and resolution information
” means confidential information received by—
  1. the Bank of England in the course of discharging its functions under Part 1 of the Banking Act 2009
, the Bank Recovery and Resolution (No. 2) Order 2014 or Schedule 11 to the Financial Services and Markets Act 2023
;
  2. the FCA or PRA in the course of discharging their functions under Part 1 of the Banking Act 2009
, the Bank Recovery and Resolution (No. 2) Order 2014 or Schedule 11 to the Financial Services and Markets Act 2023
;
  3. a person appointed by the Bank of England under section 62B (resolution administrator) of the Banking Act 2009 to act as resolution administrator in the course of discharging that person's functions as such;
- “regulators” means the FCA, the PRA and the Bank of England, and “regulator” means any one of the regulators;
- “regulator worker” means—
  1. a person who is or has been employed by one of the regulators; or
  2. an auditor or expert instructed by one of the regulators;
- “
relevant directives
” means, for the purposes of this regulation—
  1. the alternative investment fund managers directive;
  2. the capital requirements directive;
  3. the conglomerates directive;
  4. the insurance distribution directive;
  5. the mortgages directive;
  6. the Solvency 2 directive;
  7. the UCITS directive;
- “
relevant provisions
” means, for the purposes of this regulation—
  1. Articles 76 and 81 of the markets in financial instruments directive;
  2. section 2 of Chapter 1 of Title 7 of the capital requirements directive;
  3. Articles 64, 65, 66, 67, 68, 69 and 70 of the Solvency 2 directive;
  4. Articles 102 and 104.1 of the UCITS directive;
  5. Article 13 of the insurance distribution directive;
  6. Articles 47.2, 47.3, 51, 52 and 53.2 of the alternative investment fund managers directive;
  7. Articles 5(2) and 36 of the mortgages directive;
  8. Article 83 of the EMIR regulation;
  9. Article 18 of the SFT regulation;
...
- “Secretary of State worker" means—
  1. a person who is or has been employed by the Secretary of State; or
  2. an auditor or expert instructed by the Secretary of State;
- “
SFTR information
” means confidential information received by a regulator in the course of discharging its functions as a competent authority under the SFT regulation;
- “
short selling information
” means confidential information received by the FCA in the course of discharging its functions
as a competent authority under the short selling regulation
under or by virtue of the Short Selling Regulations 2025
;
- “
specified confidential EU law information
” means confidential information received by the FCA or the PRA—
  1. before IP completion day in the course of discharging its functions as the competent authority under the relevant directives; or
  2. after IP completion day in the course of exercising its functions in or under the Act or
assimilated
law which functions are equivalent to the functions as the competent authority set out in the relevant directives;
... ... ......
- “
third country regulatory authority
” means—
  1. an authority in a country or territory outside the United Kingdom which exercises any function of a kind mentioned in section 195(4) of the Act;
  2. a third country investment exchange, a third country clearing house, a third country central counterparty (within the meaning of section 285(1)(d) of the Act) or a third country CSD (within the meaning of section 285(1)(g) of the Act); or
  3. an authority in a country or territory outside the United Kingdom which exercises any functions of a kind corresponding to a function of the Bank of England;
- “
third country resolution authority
” means an authority in a country or territory which is not, and does not form part of, the United Kingdom which exercises functions in relation to third country resolution action (within the meaning of section 89H of the Banking Act 2009
or within the meaning of paragraph 145 of Schedule 11 to the Financial Services and Markets Act 2023, as appropriate
), including planning for such action, corresponding to one or more functions exercisable by the Bank of England pursuant to Part 1 of the Banking Act 2009
, the Bank Recovery and Resolution (No. 2) Order 2014 or Schedule 11 to the Financial Services and Markets Act 2023
;
- “
UCITS information
” means confidential information received by the FCA in the course of discharging its functions as the United Kingdom authority under the Undertakings for Collective Investment in Transferable Securities Regulations 2011;
...
- ... , and
any reference to an EU regulation, or part of an EU regulation, is to be read as a reference to that EU regulation, or that part of an EU regulation, as amended from time to time.
PART II

DISCLOSURE OF CONFIDENTIAL INFORMATION GENERALLY

Disclosure by and to the regulators, the Secretary of State and the Treasury etc.
3
1
A disclosure of confidential information is permitted when it is made to any person—
a
by one of the regulators or a regulator worker for the purposes of enabling or assisting the person making the disclosure to discharge any public functions of that regulator or (if different) the regulator worker;
b
by the Secretary of State or a Secretary of State worker for the purpose of enabling or assisting the person making the disclosure to discharge any public functions of the Secretary of State or (if different) of the Secretary of State worker;
c
by the Treasury for the purpose of enabling or assisting the Treasury to discharge any of their public functions;
d
by one of the regulators or a regulator worker to one of the other regulators or a regulator worker employed or instructed by one of the other regulators for the purpose of enabling or assisting the recipient to discharge any public functions of the regulator or (if different) the regulator worker.
2
A disclosure of confidential information is permitted when it is made by any primary recipient, or person obtaining the information directly or indirectly from a primary recipient, to one of the regulators, the Secretary of State or the Treasury for the purpose of enabling or assisting that regulator, the Secretary of State or the Treasury (as the case may be) to discharge any of its, his or their public functions.
3
Paragraphs (1) and (2) do not permit disclosure in contravention of any of the assimilated law restrictions.

Disclosure for the purposes of criminal proceedings and investigations
4
A primary recipient of confidential information, or a person obtaining such information directly or indirectly from a primary recipient, is permitted to disclose such information to any person—
a
for the purposes of any criminal investigation whatever which is being or may be carried out, whether in the United Kingdom or elsewhere;
b
for the purposes of any criminal proceedings whatever which have been or may be initiated, whether in the United Kingdom or elsewhere; or
ba
for the purposes of any proceedings under Part 2, 3 or 4 of the Proceeds of Crime Act 2002 which have been, or may be initiated;
c
for the purpose of initiating or bringing to an end any such investigation or proceedings, or of facilitating a determination of whether it or they should be initiated or brought to an end.

Disclosure for the purposes of certain other proceedings
5
1
Subject to paragraphs (4) and (5), a primary recipient of confidential information, or a person obtaining such information directly or indirectly from a primary recipient, is permitted to disclose such information to—
a
a person mentioned in paragraph (3) for the purpose of initiating proceedings to which this regulation applies, or of facilitating a determination of whether they should be initiated; or
b
any person for the purposes of proceedings to which this regulation applies and which have been initiated, or for the purpose of bringing to an end such proceedings, or of facilitating a determination of whether they should be brought to an end.
2
A person mentioned in paragraph (3) (or a person who is employed by one of the regulators or the Secretary of State) is permitted to disclose confidential information to any person for a purpose mentioned in paragraph (1)(a).
3
The persons referred to in paragraphs (1)(a) and (2) are—
a
the regulators;
b
the Secretary of State; and
c
the Department for the Economy in Northern Ireland.
4
This regulation does not permit the disclosure of information with a view to the institution of, or in connection with, proceedings of the kind referred to in paragraph (6)(e) to the extent that—
a
the information relates to an authorised person, former authorised person or former regulated person (“A");
b
the information also relates to another person (“B") who, to the knowledge of the primary recipient (or person obtaining confidential information directly or indirectly from him), is or has been involved in an attempt to rescue A, or A’s business, from insolvency or impending insolvency; and
c
B is not a director, controller or manager of A.
5
This regulation does not permit disclosure in contravention of any of the assimilated law restrictions.
6
The proceedings to which this regulation applies are—
a
civil proceedings arising under or by virtue of the Act, an enactment referred to in section 338 of the Act, the Banking Act 1979 , the Friendly Societies Act 1974 , the Insurance Companies Act 1982 , the Financial Services Act 1986 , the Building Societies Act 1986 , the Banking Act 1987 , the Friendly Societies Act 1992 or the Investment Services Regulations 1995 ;
b
proceedings before the Tribunal;
c
any other civil proceedings to which one of the regulators is, or is proposed to be, a party;
d
proceedings under section 7 or 8 of the Company Directors Disqualification Act 1986 or article 10 or 11 of the Companies (Northern Ireland) Order 1989 in respect of a director or former director of an authorised person, former authorised person or former regulated person; or
e
proceedings under Parts I to VI or IX to X of the Insolvency Act 1986 , the Bankruptcy (Scotland) Act 1985 or Parts II to VII or IX or X of the Insolvency (Northern Ireland) Order 1989 in respect of an authorised person, former authorised person or former regulated person.

Disclosure in pursuance of an EU obligation
6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Restrictions on use of confidential information
7
Where confidential information is disclosed under these Regulations to a person other than the FCA, the PRA,, the Secretary of State, the Treasury or the Bank of England, and the disclosure is made subject to any conditions as to the use to which the information may be put, the person to whom the information has been disclosed may not use the information in breach of any such condition, without the consent of the person who disclosed it to him.
PART III

DISCLOSURE OF SPECIFIED CONFIDENTIAL EU LAW INFORMATION ...

Application of this Part
8
This Part applies to—
a
specified confidential EU law information; ...
b
markets in financial instruments
... information, where that information has been received
from a third country regulatory authority under a cooperation agreement; and
c. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d
recovery and resolution
... information
...
e. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Disclosure by regulators or regulator workers to certain other persons
9
1
Subject to paragraphs (2) ... , (3A) , (3C) ... ... ... , ...(4) and (5), any of the regulators or a regulator worker is permitted to disclose information to which this Part applies to a person specified in the first column in Schedule 1 for the purpose of enabling or assisting that person to discharge any of the functions listed beside him in the second column in that Schedule.
1A
A regulator or a person who is employed by a regulator may disclose confidential information if it is necessary to do so in order to publish the outcome of a stress test conducted in respect of a credit institution or investment firm ....
2
Paragraph (1) does not permit disclosure to a person specified in the first column in Part 3 of Schedule 1 unless the conditions in paragraphs (2ZA), (2B) or (2C) are met.
2ZA
The condition in this paragraph is that the disclosure is provided for by a cooperation agreement of the kind referred to in—
a
article 88
of the markets in financial instruments directive;
b
article 55 of the capital requirements directive;
c
article 66 of the Solvency 2 Directive;
d. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e
article 102.3 of the UCITS directive; ...
f. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
reading the relevant provisions in those directives as if—
i
requirements imposed on a Member State or an EU entity are to be read as if they are requirements imposed on the United Kingdom or, where relevant, a primary recipient;
ii
a restriction on the disclosure of confidential information to a person in a third country applies to any disclosure of confidential information to any person in a country or territory outside the United Kingdom;
iii
a requirement to seek the consent of an EU entity only applies where an equivalent requirement applies in relation to an equivalent entity in a third country; and
iv
for the purposes of sub-paragraph (ii) a reference to a person in a third country, which is a third country regulatory authority, is to be read as including an ESA and the ESRB.
2A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2B
The conditions in this paragraph are that—
a
the disclosure is made in accordance with Chapter V of the
UK GDPR
;
and
b
the regulator or regulator worker is satisfied that the disclosure is necessary for the purpose of complying with
i
requirements imposed on the regulator in the exercise of its functions under the Act which correspond to the functions under the Alternative Investment Fund Managers Regulations 2013;
ii
EU tertiary legislation (within the meaning of section 20 of the European Union (Withdrawal) Act 2018) made under the alternative investment fund managers directive which forms part of
assimilated
law; and
iii
rules made by the FCA under the Act that were in force immediately before IP completion day to implement the alternative investment fund managers directive.
c. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2C
The condition in this paragraph is that—
a
the disclosure is of recovery and resolution information;
b
the disclosure is to a third country resolution authority;
c
the third country resolution authority is subject to restrictions on the disclosure of confidential information at least equivalent, in the opinion of the Bank of England, to the restrictions on the Bank of England in relation to its functions under Part 1 of the Banking Act 2009
, the Bank Recovery and Resolution (No. 2) Order 2014 or Schedule 11 to the Financial Services and Markets Act 2023
; and
c
the information—
i
is necessary for the performance by the third country resolution authority of its functions in relation to a third country resolution action (within the meaning of section 89H of the Banking Act 2009
or within the meaning of paragraph 145 of Schedule 11 to the Financial Services and Markets Act 2023, as appropriate
) including planning for such action, corresponding to one or more of the functions exercisable by the Bank of England pursuant to Part 1 of the Banking Act 2009
, the Bank Recovery and Resolution (No. 2) Order 2014 or Schedule 11 to the Financial Services and Markets Act 2023
; and
ii
is not used for any other purpose.
2D. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3A
Paragraph (1) does not permit disclosure of markets in financial instruments information to a person specified in the first column of Schedule 1 other than a person listed in paragraph (3B) where that information—
a
was obtained from a third country regulatory authority under a cooperation agreement; and
b
that authority indicated at the time of communication that such information must not be disclosed,
unless that authority has given its express consent to the disclosure.
3B
The persons are—
a
the Bank of England,
b. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c
the central bank of any country or territory outside the United Kingdom, ...
d
a body (other than a central bank)
... outside the United Kingdom having—
i
functions as a monetary authority; or
ii
responsibility for overseeing payment systems,
e. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3C
Paragraph (1) does not permit disclosure of UCITS
... information to a person specified in the first column of Schedule 1 other than a person listed in paragraph (3D) where that information—
a
was obtained from
a third country regulatory authority
under a cooperation agreement referred to in Article 102 of
the UCITS directive, reading the provisions in Article 102 of that directive as if the requirements imposed on a Member State were requirements imposed on the regulator
, and
b
that authority indicated at the time of communication that such information must not be disclosed,
unless that authority has given its express consent to the disclosure.
3D
The persons are—
a
the Bank of England;
b
a central bank
outside the United Kingdom;
c
a recognised investment exchange;
d
an auditor exercising functions conferred by or under the Act in relation to insurance undertakings, credit institutions, investment firms or other financial institutions;
e. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3E. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3EA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3F. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3G. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4
Paragraph (1) does not permit disclosure in breach of any restriction on the disclosure of confidential information in Section 2 of Chapter 1 of Title 7 of the capital requirements directive reading those provisions in that directive as follows—
a
the requirements imposed on a Member State or an EU entity are to be read as if they are requirements imposed on the United Kingdom or, where relevant, a primary recipient;
b
a restriction on the disclosure of confidential information to a person in a third country applies to any disclosure of confidential information to any person in a country or territory outside the United Kingdom;
c
a requirement to seek the consent of an EU entity applies only where an equivalent requirement applies in relation to an equivalent entity in a third country; and
d
for the purposes of sub-paragraph (b) a reference to a person in a third country, which is a third country regulatory authority, is to be read as including an ESA and the ESRB.
4A
Paragraph (4) does not apply where regulation 10C applies to the disclosure of confidential information.
5
Paragraph (1) does not permit the disclosure of recovery and resolution
... information to any person unless the assessment required in regulation 10B has been carried out.
6
In this regulation, “
the UK GDPR
” has the same meaning as in Parts 5 to 7 of the Data Protection Act 2018 (see section 3(10) and (14) of that Act).

Disclosure by Schedule 1 person
10
A person specified in the first column in Schedule 1 is permitted to disclose information to which this Part applies for the purpose of enabling or assisting him to discharge any of the functions listed beside him in that Schedule.

Disclosure of recovery and resolution ... information
10A
1
The Bank of England may disclose recovery and resolution
... information to any person for the purpose of enabling the Bank to prepare for and carry out the functions given to it under—
a
Parts 1, 2 and 3 of the Banking Act 2009, ...
b
the Investment Bank Special Administration Regulations 2011,
or
c
Schedule 11 to the Financial Services and Markets Act 2023,
provided that any such disclosure is made subject to the conditions in paragraph (2), and following the assessment required in regulation 10B.
2
A disclosure made by the Bank of England under paragraph (1) must be made subject to—
a
a requirement that the information disclosed is kept confidential and not disclosed to any other person without the consent of the Bank; and
b
restrictions imposed by the Bank as to the way in which the information may be used.
3
A resolution administrator appointed under section 62B of the Banking Act 2009 may disclose recovery and resolution
... information to a regulator.

Assessment of effects of disclosure
10B
1
Before any disclosure is made of recovery and resolution
... information the person disclosing that information must—
a
assess the possible effects of disclosing the information in question on—
i
the public interest in relation to financial, monetary or economic policy;
ii
the commercial interests of natural and legal persons;
iii
the purpose of any investigation, inspection or audit to which the information is relevant; and
b
where the information in question relates to the recovery plan or resolution plan of any undertaking, assess the effects of the disclosure of any part of that recovery plan or resolution plan.
2
In this regulation—
- “
recovery plan
” means a recovery plan or a group recovery plan as those terms are defined in the Bank Recovery and Resolution (No.2) Order 2014
(“
the 2014 Order
”) or in paragraph 2 of Schedule 11 to the Financial Services and Markets Act 2023
; and
- “
resolution plan
” means a resolution plan or a group resolution plan as those terms are defined in
the 2014 Order, or as defined in paragraph 4 of Schedule 11 to the Financial Services and Markets Act 2023
.

Disclosure of capital requirements directive information to International Financial Institutions
10C
1
Subject to the conditions in paragraph (2), the PRA or a PRA worker is permitted to disclose capital requirements directive information to an organisation specified in the first column of Part 6 of Schedule 1 for the purpose of enabling or assisting that organisation to discharge any of the functions listed beside it in the second column of Part 6 of Schedule 1.
2
The conditions are as follows—
a
the organisation must make an explicit request for the confidential information;
b
the request is precise as to the nature, scope and format of the confidential information and the means of its disclosure or transmission;
c
the confidential information requested is necessary for the performance of the specific tasks of the organisation making the request and does not go beyond the functions conferred on that organisation;
d
the organisation making the request justifies it by reference to its tasks; and
e
to the extent that the disclosure of confidential information involves processing of personal data, any processing of personal data by the organisation making the request complies with the UK GDPR.
3
In this regulation, “the UK GDPR” has the same meaning as in Parts 5 to 7 of the Data Protection Act 2018 (see section 3(10) and (14) of that Act).

Disclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakings
10D
The PRA or a person who is employed by the PRA may disclose confidential information if it is necessary to do so in order to publish the outcome of a stress test conducted in respect of an insurance undertaking, which is also a UK Solvency II Firm as defined by the PRA rules, or a reinsurance undertaking, which is also a UK Solvency II firm as defined by the PRA rules.
PART IV

DISCLOSURE OF CONFIDENTIAL INFORMATION NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS

Application of this Part
11
This Part applies to confidential information other than—
a
specified confidential EU law information;
b. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d
markets in financial instruments
... information, where that information has been received
from a third country regulatory authority under a cooperation agreement unless that authority has given its express consent for disclosure that is covered by this Part;
e
UCITS
... information, where that information has been received
from a third country regulatory authority under a cooperation agreement unless that authority has given its express consent for disclosure that is covered by this Part;
f. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
fa. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g
recovery and resolution
... information
;
h. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Disclosure by and to a Schedule 1 or 2 person or disciplinary proceedings authority
12
1
A primary recipient of information to which this Part applies, or a person obtaining such information directly or indirectly from a primary recipient, is permitted to disclose such information to—
a
a person specified in the first column in Schedule 1 or 2 for the purpose of enabling or assisting that person to discharge any function listed beside him in the second column in Schedule 1 or 2; or
b
a disciplinary proceedings authority for the purposes of any prescribed disciplinary proceedings which have been or may be initiated, or for the purpose of initiating or bringing to an end any such proceedings, or of facilitating a determination of whether they should be initiated or brought to an end.
2
A person specified in the first column in Schedule 1 or 2 is permitted to disclose information to which this Part applies to any person for the purpose of enabling or assisting the person making the disclosure to discharge any function listed beside him in the second column in Schedule 1 or 2.
3
A disciplinary proceedings authority is permitted to disclose information to which this Part applies to any person for any of the purposes mentioned in paragraph (1)(b).
3A
This regulation does not permit disclosure of short selling information to a person specified in the first column in Part 3 of Schedule 1 unless the disclosure is in accordance with paragraph (3B) or a cooperation arrangement on the exchange of data and information with that person.
3B
The FCA may disclose short selling information to a person specified in the first column in Part 3 of Schedule 1 where—
a
the disclosure does not contravene
Regulation (EU) 2016/679
of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data or the Data Protection Act 2018,
b
the FCA is satisfied that the disclosure is necessary for the purposes of the Short Selling Regulations 2025, and
c
any such disclosure is made under agreement that the person shall not disclose the data to the supervisory authority of another country without the express written authorisation of the FCA.
3C
Where the short selling information has been received from the supervisory authority of another country, the FCA may disclose the information to another person specified in the first column in Part 3 of Schedule 1 only where—
a
the FCA has obtained the express agreement of the person which transmitted the information, and
b
where applicable, the information is disclosed solely for the purposes for which that person gave its agreement.
4
This regulation does not permit disclosure of short selling regulation information to a person specified in the first column in Part 3 of Schedule 1 unless the disclosure is in accordance with article 40 of the short selling regulation or a cooperation arrangement of the kind referred to in article 38 of the short selling regulation.
5
This regulation does not permit the disclosure of information if—
a
the information is confidential information received by the FCA in the course of discharging its functions as a competent authority under the market abuse regulation or any directly applicable EU regulation made under the market abuse regulation; and
b
the disclosure of the information contravenes the market abuse regulation.
6
This regulation does not permit disclosure of the EU Benchmarks Regulation 2016 information which has been received from another competent authority unless the disclosure is in accordance with Article 38 of the EU Benchmarks Regulation 2016.

The Gambling Commission
12A
The
Gambling
Commission may disclose information to which this Part applies to
the Comptroller and Auditor General
for the purpose of enabling or assisting the Comptroller and Auditor General to carry out an examination under Part II of the National Audit Act 1983 in relation to the Commission.

Electronic commerce
12B. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Proceedings under the Proceeds of Crime Act 2002
12C
A primary recipient of information to which this Part applies, or a person obtaining such information directly or indirectly from a primary recipient is permitted to disclose such information to any person for the purposes of any proceedings under the Proceeds of Crime Act 2002 which have been or may be initiated.

Disclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakings
12D
The PRA or a person who is employed by the PRA may disclose confidential information if it is necessary to do so in order to publish the outcome of a stress test conducted in respect of an insurance undertaking, which is also a UK Solvency II Firm as defined by the PRA rules, or a reinsurance undertaking, which is also a UK Solvency II Firm as defined by the PRA rules.
PART V
CHAPTER 1

Transitional Provisions Applicable Before IP completion day

Interpretation
13
In this Part—
- “the Authority” means the Financial Services Authority;
- “
EEA competent authority
” has the meaning given in regulation 2 of these Regulations as it had effect immediately before IP completion day;
- “pre-commencement information" means information which is subject to restrictions (with or without qualifications or exceptions) on disclosure by virtue of a pre-commencement provision;
- “pre-commencement provision" means—
  1. any provision in—
    1. Schedule 2B to the Insurance Companies Act 1982 ;
    2. Part VIII of the Financial Services Act 1986 ;
    3. Part V of the Banking Act 1987 ; or
    4. SRO rules;
which imposes restrictions on the disclosure of information, or creates exceptions or qualifications to such restrictions; or
  2. regulation 48 of the Investment Services Regulations 1995 ;
- “recognised self-regulating organisation" means a body which immediately before the coming into force of section 348 of the Act was a recognised self-regulating organisation within the meaning of section 8(1) of the Financial Services Act 1986, or a recognised self-regulating organisation for friendly societies within the meaning of Schedule 11 to that Act;
- “
single market information
” has the meaning given in regulation 2 of these Regulations as it had effect immediately before IP completion day;
- “
single market restrictions
” has the meaning given in regulation 2 of these Regulations as it had effect immediately before IP completion day;
- “SRO rules" means the rules of a recognised self-regulating organisation;
- “transitional information" means information which immediately before the coming into force of section 19 of the Act was subject to restrictions on disclosure by virtue of a pre-commencement provision.

Disclosure of pre-commencement information
14
1
Before the coming into force of section 19 of the Act, each pre-commencement provision is to be treated as permitting the disclosure of pre-commencement information—
a
in accordance with regulation 3(1) as if it were confidential information;
b
to the Authority, the Secretary of State or the Treasury for the purpose referred to in regulation 3(2);
c
to any person for the purposes referred to in regulation 4; and
d
to—
i
a person mentioned in regulation 5(3) for the purpose referred to in regulation 5(1)(a); or
ii
any person for the purposes referred to in regulation 5(1)(b),
but only if the proceedings in question are of the kind referred to in regulation 5(6)(a), (b) or (c).
2
Paragraph (1) is not to be taken as—
a
precluding disclosure of pre-commencement information where that is otherwise permitted under the pre-commencement provision in question; or
b
permitting disclosure in contravention of any of the single market restrictions.

Disclosure of transitional information
15
1
After the coming into force of section 19 of the Act, sections 348, 349 and 352 of the Act apply in relation to transitional information in the same way as they apply in relation to confidential information within the meaning of section 348(2) of the Act.
2
Paragraph (1) does not apply to transitional information which—
a
has been made available to the public by virtue of being disclosed in any circumstances in which, or for any purposes for which, disclosure is not precluded by section 348 of the Act or a pre-commencement provision; or
b
satisfies the criterion set out in section 348(4)(b) of the Act.
3
For the purposes of sections 348 and 349 of the Act as they apply by virtue of paragraph (1)—
a
a person who holds transitional information is to be treated as a primary recipient of the information if he—
i
obtained it as mentioned in paragraph 1(2) or 5(1)(a) of Schedule 2B to the Insurance Companies Act 1982 ;
ii
was a primary recipient of the information for the purposes of section 179 of the Financial Services Act 1986 ;
iia
obtained or received it as mentioned in subsection (5) of that section;
iii
received it as mentioned in section 82(1)(a) of the Banking Act 1987 ; or
iv
received it as mentioned in regulation 48(1) of the Investment Services Regulations 1995 ;
b
any other person who holds transitional information is to be treated as having obtained the information directly or indirectly from a primary recipient.
4
Transitional information which is subject to single market restrictions ... is to be treated for the purposes of these Regulations as single market information ....
5
Part IV of these Regulations does not apply to transitional information which is subject to single market restrictions imposed by article 107.3 of the listing particulars directive.

Disclosure by recognised self-regulating organisations
16
If a recognised self-regulating organisation discloses any information to the Authority for the purpose of enabling or assisting the Authority to discharge functions corresponding to functions of the organisation, the disclosure is not to be taken as a contravention of any duty to which the organisation is subject.

Investment services directive information: transitional provision
17
In these Regulations confidential information received by the Authority in the course of discharging its functions as an EEA competent authority under Council Directive
93/22/EEC
of 10th May 1993 on investment services in the securities field shall be deemed to have been received by the Authority in the course of discharging its functions as an EEA competent authority under
Directive
2004/39/EC
of the European Parliament and of the Council of 21st April 2004 on markets in financial instruments
.
CHAPTER 2

Transitional Provision Applicable on or after IP completion day

Transitional provision applicable on or after IP completion day
18
Confidential information received before IP completion day by a primary recipient or any person obtaining the information directly or indirectly from a primary recipient shall continue to be treated, on or after IP completion day, as if that information had been received by that person in accordance with the relevant EU Regulations, directives or these Regulations as they had effect immediately before IP completion day.
Gordon Brown
David Jamieson
Two of the Lords Commissioners of Her Majesty’s Treasury
15th June 2001
SCHEDULE 1

DISCLOSURE OF CONFIDENTIAL INFORMATION WHETHER OR NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS
Regulations 9, 10 and 12
PART 1
Person | Functions
The Bank of England, the European Central Bank or the central bank of any country or territory outside the United Kingdom | (a)Its functions as a monetary authority (b)Its functions in relation to overseeing payment systems , clearing and settlement systems and central securities depositories within the meaning of the CSD regulation
The Bank of England | Its functions under Parts 1, 2 and 3 of the Banking Act 2009 , under the Investment Bank Special Administration Regulations 2011 and under Schedule 11 to the Financial Services and Markets Act 2023
The FCA | The functions conferred on it by or under the Act
The PRA | The functions conferred on it by or under the Act
A body (other than a central bank) in a country or territory outside the United Kingdom having (a) functions as a monetary authority or (b) responsibility for overseeing payments systems | Its functions as such
A recognised investment exchange (other than an overseas investment exchange) | Its functions as such
The body known as the Panel on Takeovers and Mergers | All of its functions
The Society of Lloyd’s | Its regulatory functions
. . . | . . .
The Competition and Markets Authority | (a)Its functions under the Act (b)Its functions under any other enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities ; or (iii) financial organisations within the meaning of article 56(a) of the capital requirements directive
An official receiver appointed under section 399 of the Insolvency Act 1986 , or an official receiver for Northern Ireland appointed under article 355 of the Insolvency (Northern Ireland) Order 1989 | His functions under enactments relating to insolvency, in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities; or (iii) banking group companies (as defined in section 81D of the Banking Act 2009) ; or (iv) CCP group companies (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023)
A person appointed in judicial or administrative proceedings in the United Kingdom or a country or territory outside the United Kingdom , pursuant to a law relating to insolvency, to administer the reorganisation or the liquidation of a debtor's assets or affairs | That person’s functions in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; (ii)persons carrying on, or who have carried on, regulated activities; or (iii)banking group companies (as defined in section 81D of the Banking Act 2009) ; or (iv) CCP group companies (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023)
The scheme manager | Its functions under Part XV of the Act
. . . | . . .
A designated professional body within the meaning of Part XX of the Act | Its functions as such
A body which was, immediately before the coming into force of section 19 of the Act, a recognised professional body within the meaning of the Financial Services Act 1986 | Its functions as such under that Act or under the Act
A person appointed to make a report under section 166 or 166A of the Act | His functions as such
A person appointed to conduct an investigation under section 167 or section 168(3) or (5) of the Act | His functions as such
An auditor exercising functions conferred by or under the Act | Those functions
An auditor of an authorised person , a CCP, a banking group company (as defined in section 81D of the Banking Act 2009) or a CCP group company (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023) appointed under or as a result of an enactment (other than the Act) | His functions as such
A person appointed to carry out a statutory audit of a company in accordance with the law of the United Kingdom in force immediately before IP completion day that implemented Article 2.1 of Directive 2006/43/ EC of the European Parliament and of the Council of 17th May 2006 on statutory audits and consolidated accounts | That person's functions as such
An actuary exercising functions conferred by or under the Act | Those functions
A person appointed as an inspector under section 49 of the Industrial and Provident Societies Act 1965 | His functions as such
A person appointed as an inspector under section 18 of the Credit Unions Act 1979 | His functions as such
A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 | His functions as such
A person appointed as an investigator under section 55 of the Building Societies Act 1986 or as an inspector under section 56 of that Act | His functions as such
A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 | His functions as such
A person appointed as an investigator under section 65 of the Friendly Societies Act 1992 or as an inspector under 66 of that Act | His functions as such
A recognised supervisory body within the meaning of Part 42, Chapter 2 of the Companies Act 2006 | (a)Its functions as such a body under that Part (b)Its functions in relation to disciplinary proceedings against auditors
A qualifying body as defined by section 1220 of the Companies Act 2006 | Its functions as such
The Institute of Actuaries or the Faculty of Actuaries | Their supervisory functions in relation to the exercise by an actuary of his professional duties, including the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings
A recognised professional body within the meaning of section 391 of the Insolvency Act 1986 or article 350 of the Insolvency (Northern Ireland) Order 1989 | (a)Its functions as such a body under that Act or that Order (b)Its functions in relation to disciplinary proceedings against insolvency practitioners
The Department for the Economy in Northern Ireland | (a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 (financial markets and insolvency) (b)Its functions under Part XII of the Insolvency (Northern Ireland) Order 1989 (c)Its functions under any other enactment in so far as they relate to the supervison of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The Pensions Regulator | Its functions as such in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The Charity Commissioners for England and Wales | Their functions under any enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The investigator appointed under section 84 of the Financial Services Act 2012 | His functions as such
A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under section 68 of the Financial Services Act 2012 ), or an officer or member of staff of such an inquiry | His functions in carrying out the inquiry and reporting to the Treasury
. . . | . . .
A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002 | Those functions
A person authorised by the Secretary of State for the purposes of section 456 of the Companies Act 2006 | His functions as such
Any body carrying on activities concerned with any of the matters set out in section 16(2) of the Companies (Audit, Investigations and Community Enterprise) Act 2004 | Its functions as such
Any body carrying on activities concerned with any of the matters set out in section 14 of the Companies (Audit, Investigations and Community Enterprise) Act 2004 | Its functions as such
The Financial Reporting Council and its operating bodies | Their supervisory functions in relation to the exercise by an actuary of his professional duties, the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings
. . . | . . .. . . | . . .. . . | . . .
The Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013 | All of its functions
The Comptroller and Auditor General | (a) That person’s function under section 6 of the National Audit Act 1983 of carrying out examinations into the economy, efficiency and effectiveness with which the FCA has used its resources in discharging its functions (b) That person’s function of carrying out examinations under section 7D of the Bank of England Act 1998
The National Audit Office | Functions for which it is responsible by virtue of section 22 of, and Schedule 3 to, the Budget Responsibility and National Audit Act 2011 in relation to— (i) examinations under section 6 of the National Audit Act 1983 in respect of the FCA ; or (ii) examinations under section 7D of the Bank of England Act 1998
The Information Commissioner | All functions of that person so far as they are exercisable in relation to the provision of claims management services (within the meaning given in regulation 21A of the Privacy and Electronic Communications (EC Directive) Regulations 2003)
. . . | . . .. . . | . . .. . . | . . .
The registry administrator of the registry of emissions trading scheme registers established for the purposes of paragraph 23 of Schedule 2 to the Climate Change Act 2008 | its functions as such
A person appointed under section 377G of the Act to act as the manager of a write-down order | That person’s functions in relation to the write-down order
PART 2... | . . . | . . .. . . | . . .. . . | . . .. . . | . . .
PART 3
Person | Functions
. . . | . . .
A third country regulatory authority | Its functions as such
A third country resolution authority | Its functions as such
An authority responsible for maintaining the stability of the financial system in a third country or territory through macro-prudential regulation | Its functions as such
A financial intelligence unit in a third country | Its functions as such
An authority in a third country responsible for the application of rules on structural separation within a banking group | Its functions as such
A reorganisation body or authority in a third country or territory whose aim is to protect the stability of the financial system | Its functions as such
ACER | Its functions under Regulation (EU) No 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency
A body responsible, in a third country, for administering a deposit guarantee scheme recognised in accordance with the law of that country, or an investor-compensation scheme recognised in accordance with the law of that country. | Its functions as such
A person in a third country appointed to carry out a statutory audit of a company in accordance with the law of that country. | That person's functions as such
An investment exchange which has its head office in a third country, and which is recognised as an investment exchange under the law of that country. | Its functions as a supervisor of financial markets
ESAs | Their functions under Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority) and Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority)
ESRB | Its functions under Regulation (EU) No 1092/2010 of the European Parliament and the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board
An authority responsible for maintaining the stability of the financial system in a third country through macro prudential regulation | Its functions as such.
PART 4
Person | Functions
An inspector appointed under Part XIV of the Companies Act 1985 | His functions as such
A person authorised to exercise powers under section 447 of the Companies Act 1985 | His functions as such
A person authorised under section 84 of the Companies Act 1989 to exercise on behalf of the Secretary of State powers conferred by section 83 of that Act | His functions as such
The Department for the Economy in Northern Ireland | (a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 (investigation of companies and their affairs; requisition of documents) (b)Its functions under Part III of the Companies (Northern Ireland) Order 1990 (eligibility for appointment as company auditor) (c)Its functions under the Companies (Northern Ireland) Order 1989 (disqualification of company directors)
. . . | . . .. . . | . . .
A recognised clearing house (other than an overseas clearing house , ... or a third country central counterparty (within the meaning of section 285(1)(d) of the Act)) | Its functions as a clearing house in so far as they are exercisable in relation to defaults or potential defaults by market participants
A person included on the list maintained by the Bank of England for the purposes of section 301 of the Act | His functions under settlement arrangements to which regulations made under that section relate
A person approved under the Uncertificated Securities Regulations 1995 as an operator of a relevant system (within the meaning of those Regulations) | His functions as such in so far as they are exercisable in relation to defaults or potential defaults by market participants
A clearing house or other similar body which has its head office in a third country , and which is recognised under the law of that country as a provider of clearing or settlement services | Its functions in relation to defaults or potential defaults by market participants
A third country central counterparty (within the meaning of section 285(1)(d) of the Act) | Its functions in relation to defaults or potential defaults by market participants
A recognised CSD ... or third country CSD (within the meaning of section 285(1)(e) ... and (g) of the Act) | Its functions in relation to defaults or potential defaults by market participants

PART 5
| . . . | . . .
PART
6
Organisation | Functions
International Monetary Fund | Its functions in relation to assessments for the Financial Sector Assessment Program
World Bank | Its functions in relation to assessments for the Financial Sector Assessment Program
Bank for International Settlements | Its functions in relation to quantitative impact studies
Financial Stability Board | Its surveillance functions
SCHEDULE 2

DISCLOSURE OF CONFIDENTIAL INFORMATION NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS
Regulation 12
Person | Functions
The Bank of England | All its public functions (so far as not mentioned in Schedule 1)
The International Monetary Fund | All its functions
. . . | . . .
The Competition and Markets Authority | Its functions under any enactment (so far as not mentioned in Schedule 1)
. . . | . . .
A local weights and measures authority in Great Britain | Its functions as such under any enactment
. . . | . . .
The Department of Enterprise, Trade and Investment in Northern Ireland | (a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 (Financial Markets and Insolvency) (b)It functions under Part XII of the Insolvency (Northern Ireland) Order 1989 (c)Its functions under any other enactment (so far as not mentioned in Schedule 1) (d)Its functions as a weights and measures authority for Northern Ireland
A recognised clearing house (other than an overseas clearing house ... or a third country central counterparty (within the meaning of section 285(1)(d) of the Act)) | Its functions as such (so far as not mentioned in Schedule 1)
The registry administrator of the registry of emissions trading scheme registers established for the purposes of paragraph 23 of Schedule 2 to the Climate Change Act 2008 | Its functions as such
A recognised CSD ... or third country CSD (within the meaning of section 285(1)(e) ... and (g) of the Act) | Its functions as such (so far as not mentioned in Schedule 1)
A person that is an Operator of a relevant system under the Uncertificated Securities Regulations 2001 (within the meaning of those regulations) | His functions as such (so far as not mentioned in Schedule 1)
The scheme operator | Its functions as such
The Chief Ombudsman appointed in accordance with paragraph 5 of Schedule 17 to the Act, and any other member of the panel of ombudsmen appointed in accordance with paragraph 4 of that Schedule | Their functions as such
An inspector appointed under section 284 of the Act | His functions as such
A person appointed in accordance with regulations made under section 262(1) of the Act to carry out an investigation in relation to an open-ended investment company | His functions as such
The Pensions Regulator | Its functions as such (so far as not mentioned in Schedule 1 to these Regulations)
The Charity Commissioners for England and Wales | Their functions under any enactment (so far as not mentioned in Schedule 1)
The Commissioners of Customs and Excise | Their functions under any enactment
Office of Communications | Its functions under any enactment
The Pensions Ombudsman | His functions under the Pension Schemes Act 1993 and the Pensions Act 1995
. . . | . . .
A person upon whom functions are conferred by or under the Proceeds of Crime Act 2002 | Those functions
The Gambling Commission | Its functions as such
. . . | . . .
The Gas and Electricity Markets Authority | Its functions under any enactment
The monitor in relation to a moratorium under Part A1 of the Insolvency Act 1986 | The monitor's functions in relation to the moratorium
The monitor in relation to a moratorium under Part 1A of the Insolvency (Northern Ireland) Order 1989 | The monitor's functions in relation to the moratorium
The General Council of the Bar | Its functions as such
The Law Society | Its functions as such
The Chartered Institute of Legal Executives | Its functions as such
The Faculty of Advocates | Its functions as such
The Law Society of Scotland | Its functions as such
The General Council of the Bar of Northern Ireland | Its functions as such
The Law Society of Northern Ireland | Its functions as such
The regulator of a foreign lawyer | Its functions as such
SCHEDULE 3

PRESCRIBED DISCIPLINARY PROCEEDINGS
Regulation 2
The following disciplinary proceedings are prescribed for the purposes of section 349(5)(d) of the Act—
a
disciplinary proceedings relating to the exercise by a barrister, solicitor, auditor, accountant, valuer or actuary of his professional duties;
b
disciplinary proceedings relating to the discharge of his duties by an officer or servant of—
i
the Crown;
ii
any of the regulators;
iii
the body known as the Panel on Takeovers and Mergers;
iv
the Charity Commissioners for England and Wales;
v. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
vi
the Competition and Markets Authority;
vii
the Insolvency Practitioners Tribunal in relation to its functions under the Insolvency Act 1986 ;
viii
the Occupational Pensions Board in relation to its functions under the Social Security Act 1973 and the Social Security Acts 1975 to 1986 ;
ix
the organs of the Society of Lloyd’s being organs constituted by or under Lloyd’s Act 1982 in relation to their functions under Lloyd’s Acts 1871–1982 and the byelaws made thereunder of the Society of Lloyd’s;
x
the Gambling Commission in relation to its functions under the National Lottery etc. Act 1993 .
(This note is not part of the Regulations)
These Regulations specify the circumstances in which confidential information, within the meaning of the Financial Services and Markets Act 2000 (c. 8) (“the Act"), can be disclosed. Section 348 of the Act provides that—except as permitted by such regulations—confidential information must not be disclosed by a primary recipient, or by any person obtaining the information directly or indirectly from a primary recipient, without the consent of the person from whom the primary recipient obtained the information and (if different) the person to whom it relates. “Confidential information" is defined as information which—
a
relates to the business or other affairs of any person; and
b
was received by the primary recipient for the purposes of, or in the discharge of, any functions of the Financial Services Authority (“the FSA"), the competent authority for the purposes of Part VI of the Act (official listing—currently the FSA) or the Secretary of State, under any provision made by or under the Act.
But information is not “confidential information" if it has previously been lawfully made available to the public, or is in the form of a summary or collection of information which is so framed that it is not possible to ascertain from it information relating to any particular person.
“Primary recipients" of confidential information are the FSA, the Secretary of State; persons employed by them, or auditors or experts instructed by them; or a person appointed to make a report under section 166 of the Act (reports by skilled persons).
Disclosure of confidential information in breach of section 348, or use of such information in breach of the Regulations, is an offence under section 352 of the Act.
Part II of these Regulations sets out the circumstances in which confidential information may be disclosed by or to the FSA, the Secretary of State or the Treasury; for the purposes of criminal proceedings and investigations; for the purposes of certain civil proceedings; or in pursuance of a Community obligation. Regulation 7 provides that where information is disclosed subject to a restriction on use, it may not be used in breach of that condition without the consent of the person who disclosed it.
Part III makes provision for the disclosure of information which is subject to restrictions on disclosure in the EC directives relating to financial services. Such information—subject to the provisions of regulation 9—may be disclosed to or by the persons listed in Schedule 1, for the purposes of the functions indicated there.
Part IV makes provision for the disclosure of information which is not subject to directive restrictions. Such information may be disclosed by or to the persons listed in Schedules 1 and 2, for the purposes of the functions indicated there; or for the purposes of certain disciplinary proceedings, as set out in Schedule 3.
Part V makes transitional provision about information obtained under former financial services legislation (to be repealed under the Act). Before the repeal of that legislation, information obtained under it may be disclosed for certain purposes permitted by these Regulations (regulation 14). After the repeal of that legislation, such information is to be treated in the same way as “confidential information" under the Act, and is to be subject to the provisions on disclosure in these Regulations (regulation 15).
See the definition of “prescribed".
2000 c. 8.
1986 c. 60.
1987 c. 22.
1982 c. 50.
1992 c. 40.
Modified by S.I. 1992/3218 and S.I. 1995/3275.
S.I. 1992/3218; relevant amendments were made by S.I. 1999/2094.
S.I. 1995/3275; to which there are amendments not relevant to these Regulations.
Inserted by S.I. 1994/1696 and amended by S.I. 1997/2781.
1986 c. 53.
1979 c. 37.
1974 c. 46.
1982 c. 50.
1986 c. 60.
1986 c. 53.
1987 c. 22.
1992 c. 40.
S.I. 1995/3275.
1986 c. 46. Section 7 was amended by the Insolvency Act 2000 (c. 39), Sch. 4, Part I, and s. 6. Section 8 was amended by the Financial Services Act 1986 (c. 60), s. 198; the Criminal Justice (Scotland) Act 1987 (s. 41), s. 55(b); the Criminal Justice Act 1988 (c. 33), s. 145(b); the Criminal Procedure (Consequential Provisions) (Scotland) Act 1995 (c. 40), s. 5, Sch. 4, para 62; the Companies Act 1989 (c. 40), s. 79; and the Insolvency Act 2000, s. 6.
S.I. 1989/2402 (N.I. 18).
1986 c. 45.
1985 c. 66.
S.I. 1989/2405 (N.I. 19).
1982 c. 50.
1986 c. 60.
1987 c. 22.
S.I. 1995/3275. Regulation 48 was amended by Regulation 11 of S.I. 1996/1669.
Paragraphs 1(2) and 5(1)(a) were modified by S.I. 1997/2781, art. 8, Sch. paras. 53 and 57(a)(i).
Section 179 was amended by the Companies Act 1989 (c. 40), Sch. 24; the Friendly Societies Act 1992 (c. 40), Sch. 18, para. 4; the Bank of England Act 1998 (c. 11), Sch. 5, para. 65(1) and Sch. 9; and S.I. 1992/1315 art. 10(1), Sch. 4, para. 4; and modified by S.I. 1992/3218, Sch. 9, para. 40; S.I. 1995/3275, reg. 48; and S.I. 1996/1669, reg. 12.
Section 82 was modified by S.I. 1992/3218, Sch. 8, para 22.
S.I. 1995/3275. Regulation 48 was amended by Regulation 11 of S.I. 1996/1669.
1986 c. 45.
S.I. 1989/2405 (N.I. 19).
1986 c. 60.
1965 c. 12.
1979 c. 34.
1986 c. 53. Section 52 was amended by the Building Societies Act 1997 (c. 32), Sch. 7, para. 17.
Sections 55 and 56 were amended by the Building Societies Act 1997, Sch. 7, paras 21 and 22 (respectively).
Section 62 was amended by S.I. 1994/1984, reg. 17.
Section 65 was amended by S.I. 1994/1984, reg. 19.
S.I. 1990/1504 (N.I. 10).
Section 447 was amended by the Companies Act 1989, s. 63 and Sch. 24, and by the Youth Justice and Criminal Evidence Act 1999 (c. 23), Sch. 3, paras. 4 and 6.
Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.
S.I. 1986/1032 (N.I. 6).
S.I. 1989/2404 (N.I. 18).
S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.
S.I. 1990/1504 (N.I. 10).
S.I. 1989/2405 (N.I. 19).
1986 c. 45.
1973 c. 38.
1986 c. 50; see s. 90(2).
1982 c. 14.
34 Vict c. xxi, 1&2 Geo V c. lxii, 14&15 Geo VI c. viii, 1982 c. 14.
1993 c. 39.
Words in Sch. 1 Pt. 1 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(a)(iv)
Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(b)
Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(v)
Word in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 8(a) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(a); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(b); 2020 c. 1, Sch. 5 para. 1(1)
Regulations modified (1.12.2001) by The Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001 (S.I. 2001/3648), arts. 1, 6
Regulations applied (with modifications) (1.1.2016) by The Small and Medium Sized Business (Finance Platforms) Regulations 2015 (S.I. 2015/1946), regs. 1(2), 22(2)
Words in reg. 2 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(e); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(3B)(d) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(h)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(h)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 13 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(15)(b) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(d)); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(1) substituted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(4)(a)
Word in reg. 8(a) omitted (1.4.2013) by virtue of The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(3)(a) (with regs. 52-58)
Words in reg. 15(4) substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(11)(a)(ii)
Regulations applied (18.2.2004) by The Insurers (Reorganisation and Winding Up) Regulations 2004 (S.I. 2004/353), regs. 1, 16(4)
Words in Sch. 2 heading substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(24); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2C) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(e); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(b)
Reg. 9(3G) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(4)(f) (with reg. 7)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(b)(iv); 2020 c. 1, Sch. 5 para. 1(1)
Word in reg. 9(1) inserted (1.7.2011) by The Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I. 2011/1613), regs. 1, 5(3)(a)
Reg. 12C inserted (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(c)
Reg. 9(5) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(4)(d)
Reg. 11(g) inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(6)
Words in reg. 9(1) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(a); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2ZA) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 12(3)(b)
Word in reg. 11(d) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 5(4)(a) applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(b)
Regulations applied (with modifications) (18.9.2016) by The Payment Accounts Regulations 2015 (S.I. 2015/2038), reg. 1(2)(b), Sch. 7 para. 9
Words in reg. 15(4) omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 12(e)
Words in Sch. 1 Pt. 1 substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(a)(i)
Words in reg. 9(1) substituted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(3)(a)
Word in reg. 10A heading omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(9); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(c) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(f)); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3F) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(k); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 3 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(10)
Word in reg. 9(2ZA)(e) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(b) (with regs. 52-58)
Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3, 6
Reg. 9(3B)(b) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(h)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 2 Table omitted (1.4.2014) by virtue of The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(3)(b) (with art. 3)
Words in reg. 2 inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(2)(c)
Regulations applied (5.5.2004) by The Credit Institutions (Reorganisation and Winding up) Regulations 2004 (S.I. 2004/1045), regs. 1, 18(4), 38(6)
Words in Sch. 2 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 25(4) (with regs. 7(4), 9(1))
Reg. 11(f) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(d); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3C)(3D) inserted (1.7.2011) by The Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I. 2011/1613), regs. 1, 5(3)(c)
Words in Sch. 1 Pt. 1 substituted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 55(4)(b)
Reg. 11(b) omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 12(d)
Words in Sch. 2 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(7) (with regs. 52-58)
Words in reg. 2 substituted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(g) (as amended by S.I. 2020/1385, regs. 1(4), 61(3)); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 12A heading inserted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(5)
Words in reg. 2 substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(p); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2B) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 12(3)(c)
Word in reg. 9(3B)(c) omitted (16.4.2012) by virtue of The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(7)(a)
Words in Sch. 2 Table substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(3)(a) (with art. 3)
Words in Pt. 3 heading omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 12(b)
Words in reg. 2 inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 6(2)
Words in Sch. 1 Pt. 1 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(a)(ii)
Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3EA) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(k); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 3(3) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(3); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2ZA)(d)(f) omitted (1.1.2016) by virtue of The Solvency 2 Regulations 2015 (S.I. 2015/575), reg. 1(2), Sch. 2 para. 12(3)(b)
Words in reg. 17 substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(16); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 inserted (8.11.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2001 (S.I. 2001/3437), regs. 1, 2
Words in Sch. 1 Pt. 3 Table inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(21)(d); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 inserted (10.8.2004) by The Financial Conglomerates and Other Financial Groups Regulations 2004 (S.I. 2004/1862), regs. 1(1), 11(a)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(l)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3B)(f) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(h)(iii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 8(f) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(e); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(2)(c)
Words in Sch. 2 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(25)(a); 2020 c. 1, Sch. 5 para. 1(1)
Sch. 1 Pt. 6 inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 6(5)(b)
Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(c)
Words in reg. 2 inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 56(2)
Word in reg. 8(d) omitted (13.7.2016) by virtue of The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 2(3)(a)
Word in reg. 11(g) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(e); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 2 Table added (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 9
Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(a)
Reg. 12(4) inserted (1.11.2012) by The Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (S.I. 2012/2554), regs. 1(1), 3(3)
Words in reg. 5(3)(a) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(4)(b)
Words in Sch. 2 substituted (1.10.2011) by The Postal Services Act 2011 (Consequential Modifications and Amendments) Order 2011 (S.I. 2011/2085), art. 1(2), Sch. 1 para. 48
Reg. 9(3A)(a) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(g); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (16.4.2012) by virtue of The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(2)(b)
Regulations applied (20.4.2003) by The Insurers (Reorganisation and Winding Up) Regulations 2003 (S.I. 2003/1102), regs. 1, 16(4) (with reg. 3)
Words in reg. 2 substituted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(b)
Words in reg. 9(2) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(4)(b) (with reg. 7)
Sch. 2 entry inserted (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 7 para. 32 (with ss. 2(2), 5(2))
Words in Sch. 1 Pt. 1 substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(2)(a) (with art. 3)
Words in reg. 11(d) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 3 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(21)(c); 2020 c. 1, Sch. 5 para. 1(1)
Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(a)
Word in reg. 9(1) inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 18(4)(a)
Words in reg. 9(1A) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(b); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 heading substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(18); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9 heading substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(6)(a)
Words in Sch. 1 Pt. 1 added (28.4.2014) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2014 (S.I. 2014/883), regs. 1, 2(2)
Reg. 9(2A) omitted (27.3.2019) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(4)(a)
Words in Sch. 2 substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 8 (with regs. 10-12)
Words in Sch. 1 Pt. 1 inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(a)
Reg. 9(3B)(e) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(h)(iii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 12B omitted (31.12.2020) by virtue of The Electronic Commerce and Solvency 2 (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/1361), regs. 1(2), 7 (as amended by S.I. 2019/1390, regs. 1(2), 6); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(j); 2020 c. 1, Sch. 5 para. 1(1)
Regulations applied (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 1 para. 28 (with reg. 7)
Words in reg. 2 substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(k); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 8 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(d)
Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(iii)
Words in reg. 13 inserted (31.12.2020) The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(15)(c) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(d)); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3A)(3B) inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(b), 5(d)
Pt. 2 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(b)
Words in Sch. 2 table substituted (28.4.2014) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2014 (S.I. 2014/883), regs. 1, 2(3)
Reg. 9(2ZA)(b) substituted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 55(3)(b)
Sch. 3 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(f)
Sch. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(h) (as amended (9.12.2015) by The Payment Card Interchange Fee Regulations 2015 (S.I. 2015/1911), regs. 1, 17(3) and (26.6.2017) by The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (S.I. 2017/692), reg. 1(2), Sch. 7 para. 24(10) (with regs. 8, 15))
Words in reg. 8(b) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(2B)(a) substituted (31.12.2020) by The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019 (S.I. 2019/419), reg. 1(2), Sch. 3 para. 37(2) (with Sch. 3 para. 112); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(a); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 8(d) and word inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(3)(b)
Sch. 1 Pt. 5 inserted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(4)(c)
Reg. 12(5) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(6) (with reg. 7)
Words in Sch. 2 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(25)(b); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(4) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(l); 2020 c. 1, Sch. 5 para. 1(1)
Word in reg. 10A(1) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(10)(a); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 8 substituted (1.11.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(b), 4
Sch. 2 entry omitted (1.10.2013) by virtue of The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(b) (with art. 8, Sch. para. 43)
Sch. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(h)
Words in Sch. 2 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(25)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2ZA)(c) substituted (1.1.2016) by virtue of The Solvency 2 Regulations 2015 (S.I. 2015/575), reg. 1(2), Sch. 2 para. 12(3)(a)
Words in reg. 2 omitted (20.1.2007) by virtue of The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 3(c)
Reg. 11(d) inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(b), 6(b)
Regulations applied (3.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Data Reporting Services Regulations 2017 (S.I. 2017/699), regs. 1(2)(a)(b), 42
Reg. 3(1)(d) inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(b)(ii)
Words in reg. 9(2ZA) inserted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Sch. 1 Pt. 1 modified (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(2)
Reg. 11(h) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(5)(b) (with reg. 7)
Words in reg. 9(2B)(b) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(d)(i) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(b)); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 added (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(2)
Words in reg. 2 inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(2)(a)
Words in Sch. 1 Pt. 4 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 25(3) (with regs. 7(4), 9(1))
Reg. 11(c) omitted (1.11.2007) by virtue of The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(b), 6(a)
Reg. 15(3)(a)(iia) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(5)(a)
Words in reg. 2 inserted (10.6.2013) by The Financial Conglomerates and Other Financial Groups (Amendment) Regulations 2013 (S.I. 2013/1162), regs. 1, 13
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(b)(iii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 5(6)(e) applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(c)
Sch. 2 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(e)
Reg. 8(c) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(c); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 12A inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(4)
Words in Sch. 1 Pt. 1 inserted (12.4.2017) by The Financial Services and Markets Act 2000 and the Financial Services (Banking Reform) Act 2013 (Disclosure of Confidential Information) (Amendment) Regulations 2017 (S.I. 2017/456), regs. 1, 2(2)
Words in Sch. 1 Pt. 1 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(a); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(2)(b) (with reg. 7)
Words in Sch. 2 table added (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(d)
Word in reg. 9(1) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(4)(a) (with reg. 7)
Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(b)
Word in reg. 8(d) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), regs. 1(3), 4(14) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(c)); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 2 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(a)
Words in reg. 11(e) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(f); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(l)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3D)(e) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(j)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 3 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(21)(a); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(a) (with regs. 52-58)
Word in reg. 10B(1) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(11)(a); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 12(a)(ii)
Word in reg. 9(3C) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(i)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 3 inserted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(c)
Reg. 9(2D) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(4)(d) (with reg. 7)
Reg. 10C inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 6(4)
Words in reg. 9(2ZA) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(4)(c) (with reg. 7)
Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(i)
Regulations applied (12.12.2014) by The Immigration Act 2014 (Bank Accounts) Regulations 2014 (S.I. 2014/3085), regs. 1, 13
Reg. 12C heading inserted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(6)
Words in reg. 5(6)(c) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(4)(c)
Words in reg. 11(a) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(a); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(b)(v); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(a)(v)
Words in reg. 5(2) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(4)(a)
Reg. 9(2B)(a) substituted (25.5.2018) by Data Protection Act 2018 (c. 12), s. 212(1), Sch. 19 para. 278(2) (with ss. 117, 209, 210); S.I. 2018/625, reg. 2(1)(g)
Regulations applied (with modifications) (9.2.2011) by The Electronic Money Regulations 2011 (S.I. 2011/99), regs. 1(2)(a)(xiv), 62, Sch. 3 para. 11 (with reg. 3) (as amended (27.3.2019) by S.I. 2019/681, regs. 1(2), 14(2))
Sch. 1 Pt. 5 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(23); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 3 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(c)
Words in Sch. 1 Pt. 1 omitted (1.4.2014) by virtue of The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(2)(b) (with art. 3)
Words in Sch. 1 Pt. 4 inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(7)
Sch. 1 Pt. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(g)
Sch. 1 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(d)
Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(iv)
Words in reg. 9(2) substituted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(4)(b)
Reg. 4(ba) inserted (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(a)
Words in Sch. 1 Pt. 1 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(e); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 3(b)(vi) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(4)(b) (with art. 3)
Sch. 1 Pt. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(g)
Regulations applied (with modifications) (1.12.2001) by The Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001 (S.I. 2001/3648), arts. 1, 4
Reg. 11(fa) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(d); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(ii)
Words in reg. 5(5) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(4); 2020 c. 1, Sch. 5 para. 1(1)
Regulations applied (with modifications) (13.10.2017) by The Payment Services Regulations 2017 (S.I. 2017/752), reg. 1(3)(c), Sch. 6 para. 13 (with reg. 3) (as amended (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 9(3)(b); 2020 c. 1, Sch. 5 para. 1(1))
Words in reg. 15(4) substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(11)(a)(i)
Reg. 5(4)(a) applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(b)
Pt. 4 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(c)
Word in reg. 8(d) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)
Pt. 5 Ch. 2 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(17) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(e)); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(a)(iii)
Word in reg. 3 heading substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(a)
Reg. 9(3E) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(k); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 5(3)(c) substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(3)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 17 inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(b), 7
Reg. 6 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(5); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 2 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(3)(a)
Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(a); 2020 c. 1, Sch. 5 para. 1(1)
Word in reg. 10A(3) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(10)(b); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 13 inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(8)
Sch. 2 entry omitted (16.4.2012) by virtue of The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(15)
Words in Sch. 1 Pt. 1 substituted (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(a)
Regulations modified (temp.) (11.8.2001) by The Financial Services and Markets Act 2000 (Consequential and Transitional Provisions) (Miscellaneous) (No. 2) Order 2001 (S.I. 2001/2659), arts. 1(2), 7
Reg. 9 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(e) (as amended (9.12.2015) by The Payment Card Interchange Fee Regulations 2015 (S.I. 2015/1911), regs. 1, 17(3))
Word in Sch. 3(b)(x) substituted (1.10.2013) by The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(c)(ii) (with art. 8, Sch. para. 43)
Words in Sch. 1 Pt. 3 inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 6(5)(a)
Sch. 1 Pt. 2 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(20); 2020 c. 1, Sch. 5 para. 1(1)
Word in reg. 12A substituted (1.10.2013) by The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(a) (with art. 8, Sch. para. 43)
Words in reg. 12A substituted (1.4.2012) by The Budget Responsibility and National Audit Act 2011 (Consequential Amendments) Order 2012 (S.I. 2012/725), arts. 1(2), 2(6)
Reg. 9 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(e)
Words in reg. 3(2) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(c)(ii)
Reg. 9(4A) inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 6(3)
Words in Sch. 2 Table inserted (26.12.2012) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2012 (S.I. 2012/3019), regs. 1, 2
Reg. 2 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(a)
Reg. 9(6) substituted (31.12.2020) by The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019 (S.I. 2019/419), reg. 1(2), Sch. 3 para. 37(3) (with Sch. 3 para. 112); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(3) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(f); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(a)(ii)
Words in Sch. 1 Pt. 1 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(a)(vi)
Words in reg. 2 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(2)(a) (with regs. 52-58)
Words in reg. 2 substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(f); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 omitted (1.4.2013) by virtue of The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(2)(a)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(h)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Pt. 3 heading substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(6); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(3C)(a) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(i)(ii)(aa); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(3D)(b) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(j)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 11 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(f)
Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(a)
Words in reg. 2 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(m) (as amended by S.I. 2020/1385, regs. 1(4), 61(4)); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(3C)(a) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(i)(ii)(bb); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 10B(2) substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(11)(b); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(c); 2020 c. 1, Sch. 5 para. 1(1)
Word in Sch. 2 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(25)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 5(6)(e) applied (with modifications) (11.2.2010) by The Cross Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(c)
Reg. 8(e) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(3)(c) (with reg. 7)
Words in Sch. 2 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(3)(b)
Word in reg. 8(b) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(7)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 9(2B)(c) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(d)(iii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 3 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(21)(b); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 added (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(b)
Words in reg. 2 inserted (13.7.2016) by The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 (S.I. 2016/715), reg. 1(2), Sch. 2 para. 2(2)(c)
Reg. 9(1A) inserted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 55(3)(a)
Word in reg. 11(e) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(13)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 41
Reg. 8 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(d)
Words in reg. 2 omitted (27.3.2019) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(2)(c)
Reg. 11 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(f)
Words in Sch. 1 Pt. 1 inserted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 99(2)
Words in reg. 15(5) substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(11)(b)
Words in reg. 15(5) substituted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(5)(b)
Sch. 2 entry inserted (26.6.2020) by Corporate Insolvency and Governance Act 2020 (c. 12), s. 49(1), Sch. 3 para. 39 (with ss. 2(2), 5(2))
Reg. 12(6) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 56(3)
Words in reg. 2 inserted (1.1.2016) by The Solvency 2 Regulations 2015 (S.I. 2015/575), reg. 1(2), Sch. 2 para. 12(2)(a)
Regs. 10A, 10B inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(5)
Sch. 1 Pt. 1 modified (19.7.2001 for specified purposes, 1.12.2001 in so far as not already in force) by The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (S.I. 2001/2326), arts. 1(1), 18(2)(d)
Regulations applied (with modifications) (1.1.2016) by The Small and Medium Sized Business (Credit Information) Regulations 2015 (S.I. 2015/1945), regs. 1(2), 25(2)
Words in reg. 2 omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(l)(iii); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(g); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 2 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(2)(o) (as amended by S.I. 2020/1385, regs. 1(4), 61(6) and S.I. 2020/1301, regs. 1, 3, Sch. para. 41(a)); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 9(1) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(6)(b)
Word in reg. 9(5) omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(m); 2020 c. 1, Sch. 5 para. 1(1)
Words in Sch. 1 Pt. 1 added (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(b)
Words in Sch. 1 Pt. 4 substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(d)
Reg. 3(1)(a) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(b)(i)
Regulations applied (with modifications) (15.1.2013) by The Payments in Euro (Credit Transfers and Direct Debits) Regulations 2012 (S.I. 2012/3122), reg. 1, Sch. para. 9 (as amended (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 7; 2020 c. 1, Sch. 5 para. 1(1))
Words in reg. 14(2)(b) substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(10)
Sch. 3(b)(v) omitted (1.4.2014) by virtue of The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(4)(a) (with art. 3)
Words in Sch. 2 omitted (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 99(3)
Words in Sch. 1 Pt. 1 substituted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 7
Words in Sch. 3(b)(x) omitted (1.10.2013) by virtue of The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(c)(i) (with art. 8, Sch. para. 43)
Regulations applied (with modifications) (9.7.2013) by The Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013 (S.I. 2013/1635), regs. 1, 12
Words in Sch. 1 Pt. 1 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(19)(d); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 2 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(a) (as amended (9.12.2015) by The Payment Card Interchange Fee Regulations 2015 (S.I. 2015/1911), regs. 1, 17(3))
Words in Sch. 1 Pt. 1 inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(b)
Words in Pt. 4 heading substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(12); 2020 c. 1, Sch. 5 para. 1(1)
Word in reg. 9(2B)(a) inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(8)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)
Words in reg. 7 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(5)
Words in reg. 3(2) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(c)(i)
Words in reg. 13 inserted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(15)(a) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 41(d)); 2020 c. 1, Sch. 5 para. 1(1)
Reg. 11(e) inserted (1.7.2011) by The Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I. 2011/1613), regs. 1, 5(4)(b)
Words in Sch. 1 Pt. 1 inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 5(a)
Words in Sch. 2 inserted (22.4.2021) by The Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 (S.I. 2021/494), regs. 1(2), 5(b)
Words in Sch. 1 Pt. 1 table inserted (29.8.2023) by Financial Services and Markets Act 2023 (c. 29), s. 86(2)(e), Sch. 12 para. 12
Words in Sch. 1 table substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(a)
Words in Sch. 1 table inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(b)(i)
Words in Sch. 1 table inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(b)(ii)
Word in Sch. 1 table inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(c)(i)
Words in Sch. 1 table inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(c)(ii)
Words in Sch. 1 table substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(d)(i)
Words in Sch. 1 table inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(6)(d)(ii)
Words in reg. 2 inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(2)(a)
Words in reg. 2 substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(2)(b)(i)
Words in reg. 2 substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(2)(b)(ii)
Words in reg. 2 inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(2)(c)(i)
Words in reg. 2 substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(2)(c)(ii)
Words in reg. 9(2C)(c) substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(3)(a)
Words in reg. 9(2C)(d)(i) inserted (31.12.2023) by virtue of The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(3)(b)(i)
Words in reg. 9(2C)(d)(i) substituted (31.12.2023) by virtue of The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(3)(b)(ii)
Word in reg. 10A(1)(a) omitted (31.12.2023) by virtue of The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(4)(a)
Word in reg. 10A(1)(b) inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(4)(b)
Reg. 10A(1)(c) inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(4)(c)
Words in reg. 10B(2) inserted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(5)(a)
Words in reg. 10B(2) substituted (31.12.2023) by The Resolution of Central Counterparties (Modified Application of Corporate Law and Consequential Amendments) Regulations 2023 (S.I. 2023/1313), regs. 1(2), 15(5)(b)
Regulations applied (5.4.2024) by The Data Reporting Services Regulations 2024 (S.I. 2024/107), regs. 1(2), 29; S.I. 2023/1382, reg. 4(c)
Reg. 10D inserted (31.12.2024) by The Insurance and Reinsurance Undertakings (Prudential Requirements) (Amendment and Miscellaneous Provisions) Regulations 2024 (S.I. 2024/1083), regs. 1(2)(b), 12(3)
Reg. 12D inserted (31.12.2024) by The Insurance and Reinsurance Undertakings (Prudential Requirements) (Amendment and Miscellaneous Provisions) Regulations 2024 (S.I. 2024/1083), regs. 1(2)(b), 12(4)
Words in reg. 2 inserted (31.12.2024) by The Insurance and Reinsurance Undertakings (Prudential Requirements) (Amendment and Miscellaneous Provisions) Regulations 2024 (S.I. 2024/1083), regs. 1(2)(b), 12(2)
Words in reg. 2 substituted (14.1.2025 for specified purposes) by The Short Selling Regulations 2025 (S.I. 2025/29), reg. 2(2)(3), Sch. 2 para. 4(2)
Reg. 12(3A)-(3C) inserted (14.1.2025 for specified purposes) by The Short Selling Regulations 2025 (S.I. 2025/29), reg. 2(2)(3), Sch. 2 para. 4(3)(a)
Reg. 12(4) omitted (14.1.2025 for specified purposes) by virtue of The Short Selling Regulations 2025 (S.I. 2025/29), reg. 2(2)(3), Sch. 2 para. 4(3)(b)
Words in Sch. 1 Pt. 1 table omitted (21.1.2025) by virtue of The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2024 (S.I. 2024/1306), regs. 1(1), 2(3)(a)
Words in Sch. 1 Pt. 1 table omitted (21.1.2025) by virtue of The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2024 (S.I. 2024/1306), regs. 1(1), 2(3)(b)
Words in Sch. 1 Pt. 1 table omitted (21.1.2025) by virtue of The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2024 (S.I. 2024/1306), regs. 1(1), 2(3)(c)
Words in Sch. 2 Pt. 1 Table inserted (21.1.2025) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2024 (S.I. 2024/1306), regs. 1(1), 2(4)
Words in reg. 2 inserted (21.1.2025) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2024 (S.I. 2024/1306), regs. 1(1), 2(2)
Word in Pt. 4 heading substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(e)
Word in Sch. 1 heading substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(f)
Word in Sch. 2 heading substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(g)
Word in reg. 2 substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(a)(i)
Word in reg. 2 substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(a)(ii)
Words in reg. 2 omitted (27.2.2025) by virtue of The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(a)(iii)
Word in reg. 2 substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(a)(iv)
Words in reg. 2 inserted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(a)(v)
Word in reg. 3(3) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(b)
Word in reg. 5(5) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(c)
Word in reg. 9(2B)(b)(ii) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 3(d)