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

Regulation 2

SCHEDULE 3 U.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) [F1 any 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 [F3 Competition 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 [F4 Gambling Commission] in relation to [F5 its] functions under the National Lottery etc. Act 1993 M6 .

Textual Amendments

F1 Words 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)

F2 Sch. 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)

F3 Words 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)

F4 Words 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)

F5 Word 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

M1 1986 c. 45.

M2 1973 c. 38.

M3 1986 c. 50; see s. 90(2).

M4 1982 c. 14.

M5 34 Vict c. xxi, 1&2 Geo V c. lxii, 14&15 Geo VI c. viii, 1982 c. 14.

M6 1993 c. 39.