- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (01/01/2007)
- Gwreiddiol (a wnaed Fel)
The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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Rhagor o Adnoddau
Changes over time for: PART III
Version Superseded: 01/11/2007
Alternative versions:
- 18/06/2001- Amendment
- 03/04/2003- Amendment
- 13/02/2004- Amendment
- 11/01/2005- Amendment
- 01/01/2007- Amendment
- 01/01/2007
Point in time - 01/11/2007- Amendment
- 10/12/2007- Amendment
- 02/03/2009- Amendment
- 11/02/2010- Amendment
- 31/12/2010- Amendment
- 01/07/2011- Amendment
- 16/04/2012- Amendment
- 01/04/2013- Amendment
- 22/07/2013- Amendment
- 01/01/2014- Amendment
- 10/01/2015- Amendment
- 20/04/2015- Amendment
- 21/12/2015- Amendment
- 01/01/2016- Amendment
- 21/03/2016- Amendment
- 03/07/2016- Amendment
- 13/07/2016- Amendment
- 29/06/2017- Amendment
- 03/07/2017- Amendment
- 31/07/2017- Amendment
- 03/01/2018- Amendment
- 25/05/2018- Amendment
- 27/03/2019- Amendment
- 29/12/2020- Amendment
- 31/12/2020- Amendment
- 31/12/2023- Amendment
- 31/12/2024- Amendment
Status:
Point in time view as at 01/01/2007.
Changes to legislation:
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PART IIIU.K. DISCLOSURE OF SINGLE MARKET DIRECTIVE INFORMATION F1...
Textual Amendments
F1Words 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)
Application of this PartU.K.
8. This Part applies to single market directive information F2....
Textual Amendments
F2Words in reg. 8 omitted (13.2.2004) by virtue of The Collective Investment Schemes (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/2066), regs. 1(1), 12(c)
Disclosure by the Authority or Authority workers to certain other personsU.K.
9.—(1) Subject to paragraphs (2) and (3), the Authority or an Authority 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.
(2) Paragraph (1) does not permit disclosure to a person specified in the first column in Part 3 of Schedule 1 unless the disclosure is provided for by a cooperation agreement of the kind referred to in—
(a)article 25.3 of the investment services directive;
(b)[F3article 46] of the banking consolidation directive;
(c)[F4article 16.3 of the life assurance consolidation directive];
(d)article 16.3 of the third non-life insurance directive, or
(e)article 50.4 of the UCITS directive.
[F5(2A) The references in paragraph (2) to the provisions mentioned in sub-paragraphs (a), F6... (d) and (e) are to those provisions as replaced by Directive 2000/64/EC of the European Parliament and of the Council of 7 November 2000].
(3) Paragraph (1) does not permit disclosure to a person specified in the first column in Part 4 of Schedule 1—
(a)of information obtained from an EEA competent authority, unless that authority has given its express consent to the disclosure; or
(b)of information obtained in the course of an on-the-spot verification of the kind referred to in—
(i)article 24 of the investment services directive,
(ii)[F7article 43] of the banking consolidation directive,
(iii)[F8article 11 of the life assurance consolidation directive], or
(iv)article 14 of the first non-life insurance directive,
unless the EEA competent authority of the state in which the on-the-spot verification was carried out has given its express consent to the disclosure.
Textual Amendments
F3Words in reg. 9(2)(b) substituted (1.1.2007) by The Capital Requirements Regulations 2006 (S.I. 2006/3221), reg. 1(1), Sch. 6 para. 8(3)
F4Words in reg. 9(2)(c) substituted (11.1.2005) by The Life Assurance Consolidation Directive (Consequential Amendments) Regulations 2004 (S.I. 2004/3379), regs. 1, 19(3)(a)
F5Reg. 9(2A) inserted (3.4.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2003 (S.I. 2003/693), regs. 1, 3(b)
F6Word in reg. 9(2A) omitted (11.1.2005) by virtue of The Life Assurance Consolidation Directive (Consequential Amendments) Regulations 2004 (S.I. 2004/3379), regs. 1, 19(3)(b)
F7Words in reg. 9(3)(b)(ii) substituted (1.1.2007) by The Capital Requirements Regulations 2006 (S.I. 2006/3221), reg. 1(1), Sch. 6 para. 8(4)
F8Words in reg. 9(3)(b)(iii) substituted (11.1.2005) by The Life Assurance Consolidation Directive (Consequential Amendments) Regulations 2004 (S.I. 2004/3379), regs. 1, 19(3)(c)
Disclosure by Schedule 1 personU.K.
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.
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