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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 4
Changes to legislation:
There are outstanding changes not yet made by the legislation.gov.uk editorial team to The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001. Any changes that have already been made by the team appear in the content and are referenced with annotations.
Changes to Legislation
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.
Changes and effects yet to be applied to Schedule 1 Part 4:
- Sch. 2 Pt. 1 Table words inserted by S.I. 2024/1306 reg. 2(4)
- reg. 12(3A)-(3C) inserted by S.I. 2025/29 Sch. 2 para. 4(3)(a)
Changes and effects yet to be applied to the whole Instrument associated Parts and Chapters:
Whole provisions yet to be inserted into this Instrument (including any effects on those provisions):
- Sch. 2 Pt. 1 Table words inserted by S.I. 2024/1306 reg. 2(4)
- reg. 12(3A)-(3C) inserted by S.I. 2025/29 Sch. 2 para. 4(3)(a)
PART 4U.K.
| Person | Functions |
|---|---|
| An inspector appointed under Part XIV of the Companies Act 1985 | His functions as such |
| A person authorised to exercise powers under section 447 of the Companies Act 1985 M1 | His functions as such |
| A person authorised under section 84 of the Companies Act 1989 to exercise on behalf of the Secretary of State powers conferred by section 83 of that Act M2 | His functions as such |
| [F1The Department for the Economy in Northern Ireland] | (a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 M3 (investigation of companies and their affairs; requisition of documents) (b)Its functions under Part III of the Companies (Northern Ireland) Order 1990 (eligibility for appointment as company auditor) (c)Its functions under the Companies (Northern Ireland) Order 1989 M4 (disqualification of company directors) |
| F2. . . | F2. . . |
| F3. . . | F3. . . |
| A recognised clearing house (other than an overseas clearing house [F4, F5... or a third country central counterparty (within the meaning of section 285(1)(d) of the Act)]) | Its functions as a clearing house in so far as they are exercisable in relation to defaults or potential defaults by market participants |
| A person included on the list maintained by [F6the Bank of England] for the purposes of section 301 of the Act | His functions under settlement arrangements to which regulations made under that section relate |
| A person approved under the Uncertificated Securities Regulations 1995 M5 as an operator of a relevant system (within the meaning of those Regulations) | His functions as such in so far as they are exercisable in relation to defaults or potential defaults by market participants |
| [F7A clearing house or other similar body which has its head office in [F8a third country], and which is recognised under the law of [F9that country] as a provider of clearing or settlement services | Its functions in relation to defaults or potential defaults by market participants] |
| [F10[F11A third country central counterparty (within the meaning of section 285(1)(d) of the Act)] | Its functions in relation to defaults or potential defaults by market participants] |
| [F12A recognised CSD F13... or third country CSD (within the meaning of section 285(1)(e) F14... and (g) of the Act) | Its functions in relation to defaults or potential defaults by market participants] |
Textual Amendments
F1Words in Sch. 1 Pt. 4 substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(d)
F2Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(a)
F3Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(b)
F4Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(a) (with regs. 52-58)
F5Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(a); 2020 c. 1, Sch. 5 para. 1(1)
F6Words in Sch. 1 Pt. 4 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(b)
F7Words in Sch. 1 Pt. 4 inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(7)
F8Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
F9Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
F10Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(b) (with regs. 52-58)
F11Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(c); 2020 c. 1, Sch. 5 para. 1(1)
F12Words in Sch. 1 Pt. 4 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 25(3) (with regs. 7(4), 9(1))
F13Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)
F14Word in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Marginal Citations
M1Section 447 was amended by the Companies Act 1989, s. 63 and Sch. 24, and by the Youth Justice and Criminal Evidence Act 1999 (c. 23), Sch. 3, paras. 4 and 6.
M2Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.
M5S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.
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