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Textual Amendments
F1Pts. 4-8 and Pt. 9 heading inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 5(9) (with regs. 7(4), 9(1))
9.—(1) The Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013 M1 is amended as follows.
(2) In article 2 (qualifying EU provisions: general)—
(a)after paragraph (2)(g) insert—
“(h)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(b)after paragraph (6)(c) insert—
“(d)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(c)after paragraph (8)(d) insert—
“(e)the CSD regulation and any directly applicable regulation made under that Regulation.”.
(3) In article 3 (qualifying EU provisions: disciplinary measures)—
(a)after paragraph (2)(g) insert—
“(h)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(b)after paragraph (3)(e) insert—
“(f)in relation to a contravention of a requirement imposed by the CSD regulation or any directly applicable regulation made under the CSD regulation—
(i)if the authorised person concerned is a PRA-authorised person, either the PRA or the FCA;
(ii)in any other case, the FCA.”.
(4) In article 4 (qualifying EU provisions etc.: recognised investment exchanges and clearing houses)—
(a)after paragraph (3)(d) insert—
“(e)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(b)after paragraph (5)(d) insert—
“(e)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(c)after paragraph (7)(c) insert—
“(d)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(d)after paragraph (9)(b) insert—
“(c)the CSD regulation and any directly applicable regulation made under that Regulation.”.
(5) In article 5 (qualifying EU provisions: injunctions and restitution)—
(a)after paragraph (2)(g) insert—
“(h)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(b)after paragraph (5)(f) insert—
“(g)in relation to a contravention of the CSD regulation or any directly applicable regulation made under the CSD regulation—
(i)if the authorised person concerned is a PRA-authorised person, the PRA or the FCA;
(ii)in any other case, the FCA.”;
(c)after paragraph (6)(b) insert—
“(c)the CSD regulation and any directly applicable regulation made under that Regulation.”.
(6) In article 6 (qualifying EU provisions: fees)—
(a)after paragraph (2)(i) insert—
“(j)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(b)after paragraph (4)(c) insert—
“(d)the CSD regulation and any directly applicable regulation made under that Regulation.”;
(c)after paragraph (6)(b) insert—
“(c)the CSD regulation and any directly applicable regulation made under that Regulation.”.
Marginal Citations
M1S.I. 2013/419, amended by S.I. 2013/1773.