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

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Regulations 9, 10 and 12

SCHEDULE 1U.K. DISCLOSURE OF CONFIDENTIAL INFORMATION WHETHER OR NOT SUBJECT TO [F1SINGLE MARKET RESTRICTIONS]

Textual Amendments

Modifications etc. (not altering text)

PART 1U.K.

Modifications etc. (not altering text)

PersonFunctions
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

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 systemsIts 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 MergersAll of its functions
The Society of Lloyd’sIts regulatory functions
The Director General of Fair Trading

(a)His functions under the Act

(b)His 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 [F2; or

(iii) financial organisations within the meaning of [F3article 47(a)] of the banking consolidation directive]

The Competition Commission

(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 [F4; or

(iii) financial organisations within the meaning of [F5article 47(a)] of the banking consolidation 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

The scheme managerIts 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 M4Its functions as such
A designated professional body within the meaning of Part XX of the ActIts 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 M5Its functions as such under that Act or under the Act
A person appointed to make a report under section 166 of the ActHis functions as such
A person appointed to conduct an investigation under section 167 or section 168(3) or (5) of the ActHis functions as such
An auditor exercising functions conferred by or under the ActThose functions
An auditor of an authorised person appointed under or as a result of an enactment (other than the Act)His functions as such
An actuary exercising functions conferred by or under the ActThose functions
A person appointed as an inspector under section 49 of the Industrial and Provident Societies Act 1965 M6His functions as such
A person appointed as an inspector under section 18 of the Credit Unions Act 1979 M7His functions as such
A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 M8His 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 M9His functions as such
A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 M10His 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 ActHis functions as such
A recognised supervisory body within the meaning of [F6Part 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 [F7section 1220 of the Companies Act 2006]Its functions as such
The Institute of Actuaries or the Faculty of Actuaries [F8Their 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

The Department of Enterprise, Trade and Investment 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

[F9The Pensions Regulator]

[F10Its 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

The investigator appointed by the Authority in accordance with paragraph 7 of Schedule 1 to the ActHis functions as such
[F11A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under section 15 of the Act), or an officer or member of staff of such an inquiry His functions in carrying out the inquiry and reporting to the Treasury]
[F12An 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]
[F13A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002Those functions]
[F14A person authorised by the Secretary of State for the purposes of [F15section 456 of the Companies Act 2006]His functions as such]
[F16Any 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]
[F16Any 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]
[F16The 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]
[F17ACERIts 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]
[F17ESAsTheir 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)]
[F17ESRBIts 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]

Textual Amendments

Marginal Citations

M3OJ No. L135, 31.5.1994, p. 5.

M4OJ No. L084, 26.3.1997, p. 22.

M9Sections 55 and 56 were amended by the Building Societies Act 1997, Sch. 7, paras 21 and 22 (respectively).

PART 2U.K.

PersonFunctions
An EEA regulatory authority

(a)Its functions as an EEA competent authority

(b)Its functions corresponding to any of the functions specified in the second column of Part 1 of this Schedule

PART 3U.K.

PersonFunctions
A dependent territory regulatory authorityIts functions as such
A non-EEA regulatory authorityIts functions as such

PART 4U.K.

PersonFunctions
An inspector appointed under Part XIV of the Companies Act 1985His functions as such
A person authorised to exercise powers under section 447 of the Companies Act 1985 M13His 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 M14His functions as such
The Department of Enterprise, Trade and Investment in Northern Ireland

(a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 M15 (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 M16 (disqualification of company directors)

F18. . .F18. . .
F19. . .F19. . .
A recognised clearing house (other than an overseas clearing house)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 the Authority for the purposes of section 301 of the ActHis functions under settlement arrangements to which regulations made under that section relate
A person approved under the Uncertificated Securities Regulations 1995 M17 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
[F20A clearing house or other similar body which has its head office in an EEA State other than the United Kingdom, and which is recognised under the law of that state as a provider of clearing or settlement services Its functions in relation to defaults or potential defaults by market participants]

Textual Amendments

Marginal Citations

M13Section 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.

M14Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.

M17S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.

[F21PART 5U.K.

Textual Amendments

PersonFunctions
A central government department in another EEA state, responsible for legislation on the supervision of credit institutions, financial institutions, investment services and insurance companiesIts functions as such]

Regulation 12

SCHEDULE 2U.K. DISCLOSURE OF CONFIDENTIAL INFORMATION NOT SUBJECT TO [F22SINGLE MARKET RESTRICTIONS]

Textual Amendments

PersonFunctions
The Bank of EnglandAll its public functions (so far as not mentioned in Schedule 1)
The International Monetary FundAll its functions
The Director General of Fair TradingHis functions under any enactment (so far as not mentioned in Schedule 1)
The Competition CommissionIts functions under any enactment (so far as not mentioned in Schedule 1)
F23. . .F23. . .
A local weights and measures authority in Great BritainIts functions as such under any enactment
An EEA regulatory authorityIts functions as such (so far as not mentioned in Schedule 1)
The Department of Enterprise, Trade and Investment in Northern Ireland

(a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 M18 (Financial Markets and Insolvency)

(b)It functions under Part XII of the Insolvency (Northern Ireland) Order 1989 M19

(c)Its functions under any other enactment (so far as not mentioned in Schedule 1)

(d)Its functions as a weights and measures authority for Northern Ireland

A recognised clearing house (other than an overseas clearing house)Its functions as such (so far as not mentioned in Schedule 1)
A person approved under the Uncertificated Securities Regulations 1995 as an operator of a relevant system (within the meaning of those regulations)His functions as such (so far as not mentioned in Schedule 1)
The scheme operatorIts functions as such
The Chief Ombudsman appointed in accordance with paragraph 5 of Schedule 17 to the Act, and any other member of the panel of ombudsmen appointed in accordance with paragraph 4 of that ScheduleTheir functions as such
An inspector appointed under section 284 of the ActHis functions as such
A person appointed in accordance with regulations made under section 262(1) of the Act to carry out an investigation in relation to an open-ended investment companyHis functions as such
[F24The Pensions Regulator] [F25Its functions as such] (so far as not mentioned in Schedule 1 to these Regulations)
The Charity Commissioners for England and WalesTheir functions under any enactment (so far as not mentioned in Schedule 1)
The Commissioners of Customs and ExciseTheir functions under any enactment
[F26Office of Communications] [F26Its functions under the Postal Services Act 2011]
The Pensions OmbudsmanHis functions under the Pension Schemes Act 1993 and the Pensions Act 1995
[F27The National Lottery Commission All its public functions]
[F28A person upon whom functions are conferred by or under the Proceeds of Crime Act 2002Those functions]
[F29The Gambling Commission Its functions as such]
[F30The Claims Management Regulator Its functions as such]

Textual Amendments

Marginal Citations

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)the Authority;

(iii)the body known as the Panel on Takeovers and Mergers;

(iv)the Charity Commissioners for England and Wales;

(v)the Director General of Fair Trading;

(vi)the Competition Commission;

(vii)the Insolvency Practitioners Tribunal in relation to its functions under the Insolvency Act 1986 M20;

(viii)the Occupational Pensions Board in relation to its functions under the Social Security Act 1973 M21 and the Social Security Acts 1975 to 1986 M22;

(ix)the organs of the Society of Lloyd’s being organs constituted by or under Lloyd’s Act 1982 M23 in relation to their functions under Lloyd’s Acts 1871–1982 M24 and the byelaws made thereunder of the Society of Lloyd’s;

(x)the National Lottery Commission in relation to their functions under the National Lottery etc. Act 1993 M25.

Marginal Citations

M2434 Vict c. xxi, 1&2 Geo V c. lxii, 14&15 Geo VI c. viii, 1982 c. 14.

Yn ôl i’r brig

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