- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (28/09/2018)
- Gwreiddiol (Fel y'i Deddfwyd)
Version Superseded: 31/12/2020
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Financial Services and Markets Act 2000, Section 293 is up to date with all changes known to be in force on or before 23 August 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.
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(1)The [F1appropriate regulator] may make rules requiring a recognised body to give it—
(a)notice of such events relating to the body as may be specified; and
(b)such information in respect of those events as may be specified.
(2)The rules may also require a recognised body to give the [F1appropriate regulator], at such times or in respect of such periods as may be specified, such information relating to the body as may be specified.
(3)An obligation imposed by the rules extends only to a notice or information which the [F1appropriate regulator] may reasonably require for the exercise of its functions under this Act [F2or [F3for the purposes of] Directive 2016/1148/EU of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security network and information systems across the Union].
(4)The rules may require information to be given in a specified form and to be verified in a specified manner.
(5)If a recognised body—
(a)alters or revokes any of its rules or guidance, or
(b)makes new rules or issues new guidance,
it must give written notice to the [F4appropriate regulator] without delay.
[F5(5A)In relation to a recognised CSD, in subsection (5), “guidance” means guidance issued, or any recommendation made, in writing or other legible form and intended to have continuing effect, by the recognised CSD to—
(a)all or any class of its members, or
(b)persons using or seeking to use its services,
with respect to any of the services or activities specified in its recognition order.]
(6)If a recognised investment exchange makes a change—
(a)in the arrangements it makes for the provision [F6by another person] of clearing services in respect of transactions effected on the exchange, or
(b)in the criteria which it applies when determining to whom it will provide [F7services falling within section 285(2)(b)],
it must give written notice to [F8the FCA and the Bank of England] without delay.
(7)If a recognised clearing house makes a change—
(a)in the recognised investment exchanges for whom it provides clearing services [F9or services falling within section 285(3)(b)], or
(b)in the criteria which it applies when determining to whom (other than recognised investment exchanges) it will provide clearing services [F10or services falling within section 285(3)(b)],
it must give written notice to [F11the Bank of England and the FCA] without delay.
[F12(7A)In subsections (1) and (2), “recognised body” includes an EEA CSD.]
(8)Subsections (5) to (7) do not apply to an overseas investment exchange or an overseas clearing house.
(9)“Specified” means specified in [F13the appropriate regulator's] rules.
Textual Amendments
F1Words in s. 293(1)-(3) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(2) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F2Words in s. 293(3) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(18)(a) (with regs. 7(4), 9(1))
F3Words in s. 293(3) substituted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 67
F4Words in s. 293(5) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(2) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F5S. 293(5A) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(18)(b) (with regs. 7(4), 9(1))
F6Words in s. 293(6)(a) inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(3)(a) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F7Words in s. 293(6)(b) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(3)(b) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F8Words in s. 293(6) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(3)(c) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F9Words in s. 293(7)(a) inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(4)(a) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F10Words in s. 293(7)(b) inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(4)(b) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F11Words in s. 293(7) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(4)(c) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F12S. 293(7A) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(18)(c) (with regs. 7(4), 9(1))
F13Words in s. 293(9) substituted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 10(5) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
Commencement Information
I1S. 293 wholly in force at 1.12.2001; s. 293 not in force at Royal Assent see s. 431(2); s. 293 in force for specified purposes at 18.6.2001 by S.I. 2001/1820, art. 2, Sch.; s. 293 in force in so far as not already in force at 1.12.2001 by S.I. 2001/3538, art. 2(1)
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