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The Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001

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The Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001, Section 1 is up to date with all changes known to be in force on or before 22 July 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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Citation, commencement and interpretationU.K.

1.—(1) These Regulations may be cited as the Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001 and come into force on the day on which section 19 of the Act (the general prohibition) comes into force.

(2) In these Regulations—

“the Act” means the Financial Services and Markets Act 2000;

“the person concerned” means—

(a)

in relation to an auditor of an authorised person [F1or recognised body], that authorised person [F1or recognised body];

(b)

in relation to an auditor of a person who has close links (within the meaning of section 343 of the Act) with an authorised person [F2or recognised body], that authorised person [F2or recognised body];

[F3“recognised body” has the meaning given by section 313(1) of the Act;]

“relevant requirement” means—

(a)

a requirement which is imposed by or under any provision of the Act other than Part VI (listing) and which relates to authorisation under the Act (whether by way of permission under Part IV of the Act or otherwise) or to the carrying on of any regulated activity; F4...

(aa)

[F5a requirement which is a relevant requirement within the meaning of section 312E(2) or (3) of the Act; or]

(b)

a requirement which is imposed by or under any other Act and whose contravention constitutes an offence which the [F6FCA, the PRA or the Bank of England as appropriate] has power to prosecute under the Act(1).

Textual Amendments

Commencement Information

I1Reg. 1 in force at 1.12.2001, see reg. 1(1)

(1)

See in particular section 402 of the Act (power of the Authority to institute proceedings for offences under other enactments).

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