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Financial Services and Markets Act 2000
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- Deddfau Cyhoeddus Cyffredinol y Deyrnas Unedig
- 2000 c. 8
- Part XXVII
- Miscellaneous offences
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- Dangos Graddfa Ddaearyddol(e.e. Lloegr, Cymru, Yr Alban aca Gogledd Iwerddon)
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Rhagor o Adnoddau
Changes over time for: Cross Heading: Miscellaneous offences
Version Superseded: 31/07/2017
Alternative versions:
- 25/02/2001- Amendment
- 18/06/2001- Amendment
- 01/04/2003- Amendment
- 17/03/2005- Amendment
- 01/11/2012- Amendment
- 01/04/2013- Amendment
- 22/07/2013- Amendment
- 01/01/2014- Amendment
- 01/04/2014- Amendment
- 20/04/2015- Amendment
- 03/12/2015- Amendment
- 21/12/2015- Amendment
- 21/03/2016- Amendment
- 03/07/2016- Amendment
- 18/09/2016- Amendment
- 29/06/2017- Amendment
- 03/07/2017- Amendment
- 03/07/2017
Point in time - 31/07/2017- Amendment
- 01/01/2018- Amendment
- 02/01/2018- Amendment
- 03/01/2018- Amendment
- 27/02/2018- Amendment
- 28/06/2018- Amendment
- 21/07/2018- Amendment
- 14/11/2018- Amendment
- 29/11/2018- Amendment
- 07/12/2018- Amendment
- 01/01/2019- Amendment
- 14/02/2019- Amendment
- 22/02/2019- Amendment
- 01/04/2019- Amendment
- 21/07/2019- Amendment
- 30/09/2020- Amendment
- 27/11/2020- Amendment
- 31/12/2020- Amendment
- 31/05/2021- Amendment
- 01/01/2024- Amendment
- 30/01/2024- Amendment
- 01/11/2024- Amendment
Status:
Point in time view as at 03/07/2017.
Changes to legislation:
Financial Services and Markets Act 2000, Cross Heading: Miscellaneous offences is up to date with all changes known to be in force on or before 15 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
Changes to Legislation
Changes and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. They are therefore not accessible when viewing legislation as at a specific point in time. To view the ‘Changes to Legislation’ information for this provision return to the latest version view using the options provided in the ‘What Version’ box above.
Miscellaneous offencesU.K.
F1397 Misleading statements and practices.U.K.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F1S. 397 repealed (1.4.2013) by Financial Services Act 2012 (c. 21), ss. 95, 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
398 Misleading [F2FCA or PRA]: residual cases.U.K.
(1)A person who, in purported compliance with any requirement [F3falling within subsection (1A)] knowingly or recklessly gives [F4a regulator] information which is false or misleading in a material particular is guilty of an offence.
[F5(1A)A requirement falls within this subsection if it is imposed by or under—
(a)this Act;
(b)the Alternative Investment Fund Managers Regulations 2013;
[F6(ba)the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/XXXX);]
(c)the short selling regulation;
(d)Regulation (EU) No 345/2013 of the European Parliament and the Council of 17 April 2013 on European venture capital funds; F7...
F8(e)Regulation (EU) No 346/2013 of the European Parliament and the Council of 17 April 2013 on European social entrepreneurship funds.] [F9; F10...]
[F11(ea)any directly applicable EU regulation made under the markets in financial instruments directive;
(eb)the markets in financial instruments regulation and any directly applicable EU regulation made under it; or]
[F12(f)Regulation (EU) No 2015/760 of the European Parliament and of the Council of 29th April 2015 on European Long-term Investment Funds F13...] [F14; or
(g)the market abuse regulation.]
(2)Subsection (1) applies only to a requirement in relation to which no other provision of this Act creates an offence in connection with the giving of information.
(3)A person guilty of an offence under this section is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to a fine.
Textual Amendments
F2Words in s. 398 heading substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 36(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F3Words in s. 398(1) substituted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 1 para. 30(a)
F4Words in s. 398(1) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 36(2) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F5S. 398(1A) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 1 para. 30(b)
F6S. 398(1A)(ba) 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. 2 para. 48(a) (with reg. 7) (as amended (2.1.2018) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) (No.2) Regulations 2017 (S.I. 2017/1255), regs. 2(a), 36)
F7Word in s. 398(1A)(d) omitted (3.12.2015) by virtue of The European Long-term Investment Funds Regulations 2015 (S.I. 2015/1882), regs. 1, 3(4)(a)
F8Word in s. 398(1A)(e) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes) 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. 2 para. 48(b) (with reg. 7)
F9Word in s. 398(1A)(e) inserted (3.12.2015) by The European Long-term Investment Funds Regulations 2015 (S.I. 2015/1882), regs. 1, 3(4)(b)
F10Word in s. 398(1A) omitted (3.7.2016) by virtue of The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 10(19)(a)
F11S. 398(1A)(ea)(eb) 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. 2 para. 48(c) (with reg. 7)
F12S. 398(1A)(f) inserted (3.12.2015) by The European Long-term Investment Funds Regulations 2015 (S.I. 2015/1882), regs. 1, 3(4)(c)
F13Full-stop in s. 398(1A)(f) omitted (3.7.2016) by virtue of The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 10(19)(b)
F14S. 398(1A)(g) and word inserted (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 10(19)(b)
Modifications etc. (not altering text)
C1Pt. 27 modified (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. 23 (with reg. 7)
C2Pt. 27 applied (with modifications) (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), 38
C3S. 398 extended (1.12.2001) by S.I. 2001/3646, arts. 1(2), 3(3)(b)(4)
S. 398 excluded (1.12.2001) by S.I. 2001/3646, arts. 1(2), 2(6)
C4S. 398 modified (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 12(2)
C5S. 398 applied (with modifications) (7.6.2010) by The Credit Rating Agencies Regulations 2010 (S.I. 2010/906), reg. 25
C6S. 398 applied (1.11.2012) by The Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (S.I. 2012/2554), regs. 1(1), 5(5)
C7S. 398 applied (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), regs. 1(2), 45
C8S. 398 modified (20.4.2015 for specified purposes, 21.12.2015 for specified purposes, 21.3.2016 in so far as not already in force) by The Mortgage Credit Directive Order 2015 (S.I. 2015/910), arts. 1(5), 23(1)(e) (with Pt. 4)
C9S. 398 applied (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 6(5)
C10S. 398 applied (18.9.2016) by The Payment Accounts Regulations 2015 (S.I. 2015/2038), reg. 1(2)(b), Sch. 7 para. 5
C11S. 398(1)(3) applied (1.12.2001) by S.I. 1995/1537, reg. 23(5) (as amended (1.12.2001) by S.I. 2001/3649, arts. 1, 509(f))
C12S. 398(1)(3) applied (6.3.2008) by The Regulated Covered Bonds Regulations 2008 (S.I. 2008/346), reg. 38(1)
399 Misleading [F15the CMA].U.K.
Section 44 of the M1Competition Act 1998 (offences connected with the provision of false or misleading information) applies in relation to any function of [F16the Competition and Markets Authority] under this Act as if it were a function under Part I of that Act.
Textual Amendments
F15Words in s. 399 heading substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.I. 2014/892), art. 1(1), Sch. 1 para. 130(b) (with art. 3)
F16Words in s. 399 substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.I. 2014/892), art. 1(1), Sch. 1 para. 130(a) (with art. 3)
Marginal Citations
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