The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

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Point in time view as at 27/03/2019.

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PART 1U.K.

Modifications etc. (not altering text)

C3Sch. 1 Pt. 1 modified (19.7.2001 for specified purposes, 1.12.2001 in so far as not already in force) by The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (S.I. 2001/2326), arts. 1(1), 18(2)(d)

C4Sch. 1 Pt. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(g)

C5Sch. 1 Pt. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(g)

Person	Functions
The Bank of England, the European Central Bank or the central bank of any country or territory outside the United Kingdom	(a)Its functions as a monetary authority (b)Its functions in relation to overseeing payment systems [F1, clearing and settlement systems and central securities depositories within the meaning of the CSD regulation]
[F2The Bank of England	Its functions under Parts 1, 2 and 3 of the Banking Act 2009 and under the Investment Bank Special Administration Regulations 2011]
[F3The FCA	The functions conferred on it by or under the Act]
[F4The PRA	The functions conferred on it by or under the Act]
A body (other than a central bank) in a country or territory outside the United Kingdom having (a) functions as a monetary authority or (b) responsibility for overseeing payments systems	Its functions as such
A recognised investment exchange (other than an overseas investment exchange)	Its functions as such
The body known as the Panel on Takeovers and Mergers	All of its functions
The Society of Lloyd’s	Its regulatory functions
F5. . .	F5. . .
[F6[F7The Competition and Markets Authority]	(a)Its functions under the Act (b)Its functions under any other enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities [F8; or (iii) financial organisations within the meaning of [F9article 56(a) of the capital requirements directive]
An official receiver appointed under section 399 of the Insolvency Act 1986 M1, or an official receiver for Northern Ireland appointed under article 355 of the Insolvency (Northern Ireland) Order 1989 M2	His functions under enactments relating to insolvency, in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities; [F10or (iii) banking group companies (as defined in section 81D of the Banking Act 2009)]
[F11A person appointed in judicial or administrative proceedings in an EEA State or a State which is not an EEA State, pursuant to a law relating to insolvency, to administer the reorganisation or the liquidation of a debtor's assets or affairs	[F12That person’s functions in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; (ii)persons carrying on, or who have carried on, regulated activities; or (iii)banking group companies (as defined in section 81D of the Banking Act 2009)]]
The scheme manager	Its functions under Part XV of the Act
A body responsible, in an EEA State other than the United Kingdom, for administering a deposit-guarantee scheme recognised in accordance with directive 94/19/EC M3, or an investor-compensation scheme recognised in accordance with Directive 97/9/EC M4	Its functions as such
A designated professional body within the meaning of Part XX of the Act	Its functions as such
A body which was, immediately before the coming into force of section 19 of the Act, a recognised professional body within the meaning of the Financial Services Act 1986 M5	Its functions as such under that Act or under the Act
A person appointed to make a report under section 166 [F13or 166A] of the Act	His functions as such
A person appointed to conduct an investigation under section 167 or section 168(3) or (5) of the Act	His functions as such
An auditor exercising functions conferred by or under the Act	Those functions
An auditor of an authorised person [F14or banking group company (as defined in section 81D of the Banking Act 2009)] appointed under or as a result of an enactment (other than the Act)	His functions as such
[F15A person appointed to carry out a statutory audit of a company within the meaning of Article 2.1 of Directive 2006/43/EC of the European Parliament and of the Council of 17th May 2006 on statutory audits and consolidated accounts	That person's functions as such]
An actuary exercising functions conferred by or under the Act	Those functions
A person appointed as an inspector under section 49 of the Industrial and Provident Societies Act 1965 M6	His functions as such
A person appointed as an inspector under section 18 of the Credit Unions Act 1979 M7	His functions as such
A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 M8	His functions as such
A person appointed as an investigator under section 55 of the Building Societies Act 1986 or as an inspector under section 56 of that Act M9	His functions as such
A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 M10	His functions as such
A person appointed as an investigator under section 65 of the Friendly Societies Act 1992 M11 or as an inspector under 66 of that Act	His functions as such
A recognised supervisory body within the meaning of [F16Part 42, Chapter 2 of the Companies Act 2006]	(a)Its functions as such a body under that Part (b)Its functions in relation to disciplinary proceedings against auditors
A qualifying body as defined by [F17section 1220 of the Companies Act 2006]	Its functions as such
The Institute of Actuaries or the Faculty of Actuaries	[F18Their supervisory functions in relation to the exercise by an actuary of his professional duties, including the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings]
A recognised professional body within the meaning of section 391 of the Insolvency Act 1986 or article 350 of the Insolvency (Northern Ireland) Order 1989	(a)Its functions as such a body under that Act or that Order (b)Its functions in relation to disciplinary proceedings against insolvency practitioners
[F19The Department for the Economy in Northern Ireland]	(a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 (financial markets and insolvency) M12 (b)Its functions under Part XII of the Insolvency (Northern Ireland) Order 1989 (c)Its functions under any other enactment in so far as they relate to the supervison of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
[F20The Pensions Regulator]	[F21Its functions as such] in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The Charity Commissioners for England and Wales	Their functions under any enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
[F22The investigator appointed under section 84 of the Financial Services Act 2012]	His functions as such
[F23A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under [F24section 68 of the Financial Services Act 2012]), or an officer or member of staff of such an inquiry	His functions in carrying out the inquiry and reporting to the Treasury]
[F25An investment exchange which has its head office in an EEA State other than the United Kingdom, and which is recognised as an investment exchange under the law of that state	Its functions as a supervisor of financial markets]
[F26A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002	Those functions]
[F27A person authorised by the Secretary of State for the purposes of [F28section 456 of the Companies Act 2006]	His functions as such]
[F29Any body carrying on activities concerned with any of the matters set out in section 16(2) of the Companies (Audit, Investigations and Community Enterprise) Act 2004	Its functions as such]
[F29Any body carrying on activities concerned with any of the matters set out in section 14 of the Companies (Audit, Investigations and Community Enterprise) Act 2004	Its functions as such]
[F29The Financial Reporting Council and its operating bodies	Their supervisory functions in relation to the exercise by an actuary of his professional duties, the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings]
[F30ACER	Its functions under Regulation (EU) No. 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency]
[F30ESAs	Their functions under Regulation (EU) No. 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), Regulation (EU) No. 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority) and Regulation (EU) No. 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority)]
[F30ESRB	Its functions under Regulation (EU) No. 1092/2010 of the European Parliament and the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board]]]
[F31The Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013	All of its functions]
[F32The Comptroller and Auditor General	(a) That person’s function under section 6 of the National Audit Act 1983 of carrying out examinations into the economy, efficiency and effectiveness with which the FCA has used its resources in discharging its functions (b) That person’s function of carrying out examinations under section 7D of the Bank of England Act 1998]
[F32The National Audit Office	Functions for which it is responsible by virtue of section 22 of, and Schedule 3 to, the Budget Responsibility and National Audit Act 2011 in relation to— (i) examinations under section 6 of the National Audit Act 1983 in respect of the FCA; or (ii) examinations under section 7D of the Bank of England Act 1998]
[F33The Information Commissioner	All functions of that person so far as they are exercisable in relation to the provision of claims management services (within the meaning given in regulation 21A of the Privacy and Electronic Communications (EC Directive) Regulations 2003)]
[F33The General Council of the Bar	(a) Its functions under arrangements which it has, or rules which it makes, in compliance with section 30(4) of the Financial Guidance and Claims Act 2018 (as applied by section 32(2) of that Act), for monitoring and enforcing the prohibitions in section 32(1) of that Act (b) Its functions under rules which it makes in compliance with section 33(1) of that Act]
[F33The Law Society of England and Wales	(a) Its functions under arrangements which it has, or rules which it makes, in compliance with section 30(4) of the Financial Guidance and Claims Act 2018 (as applied by section 32(2) of that Act), for monitoring and enforcing the prohibitions in section 32(1) of that Act (b) Its functions under rules which it makes in compliance with section 33(1) of that Act]
[F33The Chartered Institute of Legal Executives	(a) Its functions under arrangements which it has, or rules which it makes, in compliance with section 30(4) of the Financial Guidance and Claims Act 2018 (as applied by section 32(2) of that Act), for monitoring and enforcing the prohibitions in section 32(1) of that Act (b) Its functions under rules which it makes in compliance with section 33(1) of that Act]