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The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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Changes over time for: SCHEDULE 3
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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 3:
- Pt. 5 Ch. 1 heading Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 by S.I. 2019/681 reg. 4(14)
- Pt. 5 Ch. 2 inserted by S.I. 2019/681 reg. 4(17)
- Pt. 5 Ch. 1 heading words substituted in earlier amending provision S.I. 2019/681, reg. 4(14) by S.I. 2020/1301 reg. 3 Sch. para. 41(c)
- Pt. 5 Ch. 2 words substituted in earlier amending provision S.I. 2019/681, reg. 4(17) by S.I. 2020/1301 reg. 3 Sch. para. 41(e)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- Sch. 3 applied by S.I. 2019/926 reg. 29(1)(f)
- Regulations amendment to earlier affecting provision S.I. 2012/3122, Sch. para. 9 by S.I. 2019/681 reg. 7
- Regulations amendment to earlier affecting provision SI 2011/99, Sch. 3 para. 11 by S.I. 2019/681 reg. 14(2)
- Regulations amendment to earlier affecting provision SI 2017/752, Sch. 6 para. 13 by S.I. 2019/681 reg. 9(3)(b)
- Regulations applied by S.I. 2024/107 reg. 29
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(i)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(ii)
- reg. 8(f) omitted by S.I. 2019/681 reg. 4(7)(e)
- reg. 9(1A) words omitted by S.I. 2019/681 reg. 4(8)(b)
- art. 9(2B)(a) substituted by 2018 c. 12 Sch. 19 para. 278(2)
- reg. 9(2B)(a) word inserted by S.I. 2019/681 reg. 4(8)(d)(i)
- reg. 9(2B)(a) words substituted by S.I. 2019/419 Sch. 3 para. 37(2)
- reg. 9(2B)(b) words substituted by S.I. 2019/681 reg. 4(8)(d)(ii)
- reg. 9(2B)(b)(iii) words substituted in earlier amending provision S.I. 2019/681, reg. 4(8)(d)(ii) by S.I. 2020/1301 reg. 3 Sch. para. 41(b)
- reg. 9(2B)(c) omitted by S.I. 2019/681 reg. 4(8)(d)(iii)
- reg. 9(2C) substituted by S.I. 2019/681 reg. 4(8)(e)
- reg. 9(2C)(c) words substituted by S.I. 2023/1313 reg. 15(3)(a)
- reg. 9(2C)(d)(i) words inserted by S.I. 2023/1313 reg. 15(3)(b)(i)
- reg. 9(2C)(d)(i) words substituted by S.I. 2023/1313 reg. 15(3)(b)(ii)
- reg. 9(2ZA) words inserted by S.I. 2019/681 reg. 4(8)(c)(ii)
- reg. 9(2ZA)(e) word omitted by S.I. 2019/681 reg. 4(8)(c)(i)
- reg. 9(3)(b)(vi) substituted for reg. 9(3)(b)(iii)(iv)(v) by S.I. 2019/681 reg. 13(4)(b)
- reg. 9(3F) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(3EA) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(4A) inserted by S.I. 2020/1406 reg. 6(3)
- reg. 9(5) word omitted by S.I. 2019/681 reg. 4(8)(m)
- art. 9(6) inserted by 2018 c. 12 Sch. 19 para. 278(3)
- reg. 9(6) substituted by S.I. 2019/419 Sch. 3 para. 37(3)
- reg. 10A heading word omitted by S.I. 2019/681 reg. 4(9)
- reg. 10A(1) word omitted by S.I. 2019/681 reg. 4(10)(a)
- reg. 10A(1)(a) word omitted by S.I. 2023/1313 reg. 15(4)(a)
- reg. 10A(1)(b) word inserted by S.I. 2023/1313 reg. 15(4)(b)
- reg. 10A(1)(c) inserted by S.I. 2023/1313 reg. 15(4)(c)
- reg. 10A(3) word omitted by S.I. 2019/681 reg. 4(10)(b)
- reg. 10B(1) word omitted by S.I. 2019/681 reg. 4(11)(a)
- reg. 10B(2) words inserted by S.I. 2023/1313 reg. 15(5)(a)
- reg. 10B(2) words substituted by S.I. 2019/681 reg. 4(11)(b)
- reg. 10B(2) words substituted by S.I. 2023/1313 reg. 15(5)(b)
- reg. 10C inserted by S.I. 2020/1406 reg. 6(4)
- reg. 10D inserted by S.I. 2024/1083 reg. 12(3)
- reg. 11(g) word omitted by S.I. 2019/681 reg. 4(13)(e)
- reg. 11(fa) omitted by S.I. 2019/681 reg. 4(13)(d)
- reg. 12D inserted by S.I. 2024/1083 reg. 12(4)
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):
- Pt. 5 Ch. 1 heading Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 by S.I. 2019/681 reg. 4(14)
- Pt. 5 Ch. 2 inserted by S.I. 2019/681 reg. 4(17)
- Pt. 5 Ch. 1 heading words substituted in earlier amending provision S.I. 2019/681, reg. 4(14) by S.I. 2020/1301 reg. 3 Sch. para. 41(c)
- Pt. 5 Ch. 2 words substituted in earlier amending provision S.I. 2019/681, reg. 4(17) by S.I. 2020/1301 reg. 3 Sch. para. 41(e)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(i)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(ii)
- reg. 8(f) omitted by S.I. 2019/681 reg. 4(7)(e)
- reg. 9(1A) words omitted by S.I. 2019/681 reg. 4(8)(b)
- art. 9(2B)(a) substituted by 2018 c. 12 Sch. 19 para. 278(2)
- reg. 9(2B)(a) word inserted by S.I. 2019/681 reg. 4(8)(d)(i)
- reg. 9(2B)(a) words substituted by S.I. 2019/419 Sch. 3 para. 37(2)
- reg. 9(2B)(b) words substituted by S.I. 2019/681 reg. 4(8)(d)(ii)
- reg. 9(2B)(b)(iii) words substituted in earlier amending provision S.I. 2019/681, reg. 4(8)(d)(ii) by S.I. 2020/1301 reg. 3 Sch. para. 41(b)
- reg. 9(2B)(c) omitted by S.I. 2019/681 reg. 4(8)(d)(iii)
- reg. 9(2C) substituted by S.I. 2019/681 reg. 4(8)(e)
- reg. 9(2C)(c) words substituted by S.I. 2023/1313 reg. 15(3)(a)
- reg. 9(2C)(d)(i) words inserted by S.I. 2023/1313 reg. 15(3)(b)(i)
- reg. 9(2C)(d)(i) words substituted by S.I. 2023/1313 reg. 15(3)(b)(ii)
- reg. 9(2ZA) words inserted by S.I. 2019/681 reg. 4(8)(c)(ii)
- reg. 9(2ZA)(e) word omitted by S.I. 2019/681 reg. 4(8)(c)(i)
- reg. 9(3)(b)(vi) substituted for reg. 9(3)(b)(iii)(iv)(v) by S.I. 2019/681 reg. 13(4)(b)
- reg. 9(3F) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(3EA) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(4A) inserted by S.I. 2020/1406 reg. 6(3)
- reg. 9(5) word omitted by S.I. 2019/681 reg. 4(8)(m)
- art. 9(6) inserted by 2018 c. 12 Sch. 19 para. 278(3)
- reg. 9(6) substituted by S.I. 2019/419 Sch. 3 para. 37(3)
- reg. 10A heading word omitted by S.I. 2019/681 reg. 4(9)
- reg. 10A(1) word omitted by S.I. 2019/681 reg. 4(10)(a)
- reg. 10A(1)(a) word omitted by S.I. 2023/1313 reg. 15(4)(a)
- reg. 10A(1)(b) word inserted by S.I. 2023/1313 reg. 15(4)(b)
- reg. 10A(1)(c) inserted by S.I. 2023/1313 reg. 15(4)(c)
- reg. 10A(3) word omitted by S.I. 2019/681 reg. 4(10)(b)
- reg. 10B(1) word omitted by S.I. 2019/681 reg. 4(11)(a)
- reg. 10B(2) words inserted by S.I. 2023/1313 reg. 15(5)(a)
- reg. 10B(2) words substituted by S.I. 2019/681 reg. 4(11)(b)
- reg. 10B(2) words substituted by S.I. 2023/1313 reg. 15(5)(b)
- reg. 10C inserted by S.I. 2020/1406 reg. 6(4)
- reg. 10D inserted by S.I. 2024/1083 reg. 12(3)
- reg. 11(g) word omitted by S.I. 2019/681 reg. 4(13)(e)
- reg. 11(fa) omitted by S.I. 2019/681 reg. 4(13)(d)
- reg. 12D inserted by S.I. 2024/1083 reg. 12(4)
Regulation 2
SCHEDULE 3U.K. PRESCRIBED DISCIPLINARY PROCEEDINGS
The following disciplinary proceedings are prescribed for the purposes of section 349(5)(d) of the Act—
(a)disciplinary proceedings relating to the exercise by a barrister, solicitor, auditor, accountant, valuer or actuary of his professional duties;
(b)disciplinary proceedings relating to the discharge of his duties by an officer or servant of—
(i)the Crown;
(ii)[F1any of the regulators];
(iii)the body known as the Panel on Takeovers and Mergers;
(iv)the Charity Commissioners for England and Wales;
F2(v). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(vi)the [F3Competition and Markets Authority];
(vii)the Insolvency Practitioners Tribunal in relation to its functions under the Insolvency Act 1986 M1;
(viii)the Occupational Pensions Board in relation to its functions under the Social Security Act 1973 M2 and the Social Security Acts 1975 to 1986 M3;
(ix)the organs of the Society of Lloyd’s being organs constituted by or under Lloyd’s Act 1982 M4 in relation to their functions under Lloyd’s Acts 1871–1982 M5 and the byelaws made thereunder of the Society of Lloyd’s;
(x)the [F4Gambling Commission] in relation to [F5its] functions under the National Lottery etc. Act 1993 M6.
Textual Amendments
F1Words in Sch. 3 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(10)
F2Sch. 3(b)(v) omitted (1.4.2014) by virtue of The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(4)(a) (with art. 3)
F3Words in Sch. 3(b)(vi) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(4)(b) (with art. 3)
F4Words in Sch. 3(b)(x) omitted (1.10.2013) by virtue of The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(c)(i) (with art. 8, Sch. para. 43)
F5Word in Sch. 3(b)(x) substituted (1.10.2013) by The Public Bodies (Merger of the Gambling Commission and the National Lottery Commission) Order 2013 (S.I. 2013/2329), art. 1(2), Sch. para. 34(c)(ii) (with art. 8, Sch. para. 43)
Marginal Citations
M31986 c. 50; see s. 90(2).
M534 Vict c. xxi, 1&2 Geo V c. lxii, 14&15 Geo VI c. viii, 1982 c. 14.
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