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The Uncertificated Securities Regulations 2001
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Status:
Point in time view as at 03/01/2018.
Changes to legislation:
There are currently no known outstanding effects for the The Uncertificated Securities Regulations 2001, SCHEDULE 3.
Changes to Legislation
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Regulations 5(4), 7(3) and 8(4)
SCHEDULE 3U.K.PROCEDURE FOR REFUSAL OR WITHDRAWAL OF APPROVAL AS AN OPERATOR, OR FOR GIVING DIRECTIONS, ETC.
[F11. Before—U.K.
(a)refusing an application for approval as an Operator made under regulation 4 (whether or not pursuant to paragraph 1(1) of Schedule 2);
(b)withdrawing an Operator’s approval under regulation 7(2); or
(c)giving a direction under regulation 8,
the Bank of England must give written notice of its intention to do so to the Operator.]
Textual Amendments
F1Sch. 3 para. 1 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(a) (with reg. 3)
Commencement Information
I1Sch. 3 para. 1 in force at 26.11.2001, see reg. 1
2. A notice under paragraph 1 shall—U.K.
[F2(a)state why the Bank of England intends to refuse the application, withdraw the approval or give the direction; and]
(b)draw attention to the right to make representations conferred by paragraph 3.
Textual Amendments
F2Sch. 3 para. 2(a) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(b) (with reg. 3)
Commencement Information
I2Sch. 3 para. 2 in force at 26.11.2001, see reg. 1
[F33. Before the end of the period for making representations, the Operator may make representations to the Bank of England.]U.K.
Textual Amendments
F3Sch. 3 para. 3 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(c) (with reg. 3)
Commencement Information
I3Sch. 3 para. 3 in force at 26.11.2001, see reg. 1
[F44. The period for making representations is such period as is specified in the notice (which may, in any particular case, be extended by the Bank of England).]U.K.
Textual Amendments
F4Sch. 3 para. 4 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(d) (with reg. 3)
Commencement Information
I4Sch. 3 para. 4 in force at 26.11.2001, see reg. 1
5. In deciding whether to refuse the application, withdraw the approval, [F5or] give the directionF6... the [F7Bank of England must] have regard to any representations made in accordance with paragraph 3.U.K.
Textual Amendments
F5Word in Sch. 3 para. 5 inserted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(e)(i) (with reg. 3)
F6Words in Sch. 3 para. 5 omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(e)(ii) (with reg. 3)
F7Words in Sch. 3 para. 5 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(e)(iii) (with reg. 3)
Commencement Information
I5Sch. 3 para. 5 in force at 26.11.2001, see reg. 1
[F86.—(1) When the Bank of England has decided whether to—U.K.
(a)refuse the application;
(b)withdraw the approval; or
(c)give the direction;
it must give the Operator written notice of its decision.]
Textual Amendments
F8Sch. 3 para. 6 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(f) (with reg. 3)
Commencement Information
I6Sch. 3 para. 6 in force at 26.11.2001, see reg. 1
7. If the [F9Bank of England reasonably considers it necessary] to do so, [F10it] may withdraw an Operator’s approval under regulation 7(2) or give a direction under regulation 8—U.K.
(a)without following the procedure set out in this Schedule; or
(b)if the [F11Bank of England has] begun to follow that procedure, regardless of whether the period for making representations has expired.
Textual Amendments
F9Words in Sch. 3 para. 7 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(g)(i) (with reg. 3)
F10Word in Sch. 3 para. 7 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(g)(ii) (with reg. 3)
F11Words in Sch. 3 para. 7(b) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(g)(iii) (with reg. 3)
Commencement Information
I7Sch. 3 para. 7 in force at 26.11.2001, see reg. 1
[F128. If the Bank of England has, in relation to a particular matter, followed the procedure set out in paragraphs 1 to 5, it need not follow it again if, in relation to that matter, it decides to take action other than that specified in its notice under paragraph 1.]U.K.
Textual Amendments
F12Sch. 3 para. 8 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(h) (with reg. 3)
Commencement Information
I8Sch. 3 para. 8 in force at 26.11.2001, see reg. 1
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