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PART 3 PARTICIPATING SECURITIES
KEEPING OF REGISTERS AND RECORDS
21.Entries on registers and records in respect of public sector securities
22.Entries on registers and records in respect of other securities
23.General provisions concerning keeping registers and records
28.Registration by a participating issuer of transfers of securities upon conversion into certificated form
29.Registration to be in accordance with regulations 27 and 28
31.Position of a transferee prior to entry on an issuer register of securities
PART 5 MISCELLANEOUS AND SUPPLEMENTAL
REQUIREMENTS FOR APPROVAL OF A PERSON AS OPERATOR
6.A relevant system must ensure that the Operator-system can send...
7.Before an Operator registers a transfer of title to uncertificated...
8.Before an Operator-instruction to a participating issuer to register a...
9.A relevant system must enable an Operator to comply with...
10.A relevant system must maintain adequate records of all dematerialised...
11.A relevant system must— (a) enable each system-member to obtain...
12.A relevant system must be able to permit each participating...
13.A relevant system must be able to establish, where there...
14.A relevant system must ensure that the Operator-system is able...
16.For the purposes of paragraph 15(a)(ii), once authority is granted...
18.A relevant system must enable system-members— (a) to change the...
19.Paragraph 18 shall not apply to any wholly dematerialised security....
PREVENTION OF RESTRICTIVE PRACTICES
PROCEDURE FOR REFUSAL OR WITHDRAWAL OF APPROVAL AS AN OPERATOR, OR FOR GIVING DIRECTIONS, ETC.
1.Before— (a) refusing an application for approval as an Operator...
4.The period for making representations is— (a) two months beginning—...
5.In deciding whether to refuse the application, withdraw the approval,...
6.When the Treasury have decided whether to refuse the application,...
8.If the Treasury have, in relation to a particular matter,...
KEEPING OF REGISTERS AND RECORDS OF PARTICIPATING SECURITIES
Location of issuer register of members and records of uncertificated shares, and ancillary matters
2.The definition of “securities” in regulation 3(1) shall be modified...
3.Regulation 5 shall be modified by the substitution for paragraph...
4.Regulation 7 shall be modified by— (a) the insertion in...
5.Regulation 8 shall be modified by— (a) the substitution for...
6.In regulation 9— (a) paragraph (7) shall be modified by...
9.Schedule 2 shall be modified by— (a) the substitution for...
MINOR AND CONSEQUENTIAL AMENDMENTS
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