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

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Point in time view as at 31/12/2023.

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PART 1U.K.

Modifications etc. (not altering text)

C4Sch. 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)

C5Sch. 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)

C6Sch. 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)

C7Sch. 1 Pt. 1 modified (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(2)

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 [F3, under the Investment Bank Special Administration Regulations 2011 and under Schedule 11 to the Financial Services and Markets Act 2023]]
[F4The FCA	The functions conferred on it by or under the Act]
[F5The 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
F6. . .	F6. . .
[F7[F8The 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 [F9; or (iii) financial organisations within the meaning of [F10article 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; [F11or (iii) banking group companies (as defined in section 81D of the Banking Act 2009)] [F12; or] [F13(iv) CCP group companies (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023)]
[F14A person appointed in judicial or administrative proceedings in [F15the United Kingdom or a country or territory outside the United Kingdom], pursuant to a law relating to insolvency, to administer the reorganisation or the liquidation of a debtor's assets or affairs	[F16That 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)]] [F17; or] [F18(iv) CCP group companies (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023)]
The scheme manager	Its functions under Part XV of the Act
F19. . .	F19. . .
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 M3	Its functions as such under that Act or under the Act
A person appointed to make a report under section 166 [F20or 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 [F21[F22, a CCP, a banking group company] (as defined in section 81D of the Banking Act 2009)] [F23or a CCP group company (as defined in paragraph 156 of Schedule 11 to the Financial Services and Markets Act 2023)] appointed under or as a result of an enactment (other than the Act)	His functions as such
[F24A person appointed to carry out a statutory audit of a company [F25in accordance with the law of the United Kingdom in force immediately before IP completion day that implemented] 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 M4	His functions as such
A person appointed as an inspector under section 18 of the Credit Unions Act 1979 M5	His functions as such
A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 M6	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 M7	His functions as such
A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 M8	His functions as such
A person appointed as an investigator under section 65 of the Friendly Societies Act 1992 M9 or as an inspector under 66 of that Act	His functions as such
A recognised supervisory body within the meaning of [F26Part 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 [F27section 1220 of the Companies Act 2006]	Its functions as such
The Institute of Actuaries or the Faculty of Actuaries	[F28Their 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
[F29The 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) M10 (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
[F30The Pensions Regulator]	[F31Its 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
[F32The investigator appointed under section 84 of the Financial Services Act 2012]	His functions as such
[F33A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under [F34section 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]
F35. . .	F35. . .
[F36A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002	Those functions]
[F37A person authorised by the Secretary of State for the purposes of [F38section 456 of the Companies Act 2006]	His functions as such]
[F39Any 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]
[F39Any 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]
[F39The 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]
F40. . .	F40. . .
F41. . .	F41. . .
F42. . .	F42. . .
[F43The Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013	All of its functions]
[F44The 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]
[F44The 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]
[F45The 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)]
[F45The 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]
[F45The 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]
[F45The 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]
[F46The Chartered Institute of Legal Executives”, in the first column insert “The registry administrator of the registry of emissions trading scheme registers established for the purposes of paragraph 23 of Schedule 2 to the Climate Change Act 2008	its functions as such]
[F47A person appointed under section 377G of the Act to act as the manager of a write-down order	That person’s functions in relation to the write-down order]]