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The Uncertificated Securities Regulations 2001
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Changes to legislation:
There are currently no known outstanding effects for the The Uncertificated Securities Regulations 2001, Paragraph 19.
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19.—(1) Such sanctions as apply to a company and its officers in the event of a default in complying with [F1section 113 of the 2006 Act] shall apply to an Operator and his officers in the event of a default in complying with paragraph 4, 12 or 14.U.K.
(2) Such sanctions as apply to the registrar, within the meaning of the 1974 Regulations, in the event of a default in complying with regulation 5 of those Regulations shall apply to a participating issuer and his officers in the event of a default in complying with paragraph 13 in respect of a local authority security [F2falling within paragraph (a)(i) of the definition of “local authority security].
F3(2A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) Such sanctions as apply in the event of a default in complying with the requirement to maintain a register imposed by the relevant enactment or instrument referred to in regulation 22(1) shall apply to—
(a)a participating issuer other than a company; and
(b)a participating issuer which is a company, in relation to so much of the record of uncertificated corporate securities as does not relate to debentures,
and his officers in the event of a default in complying with paragraph 15.
(4) Subparagraphs (2) and (3) shall not apply to any of the following or its officers—
(a)the Crown;
(b)any person acting on behalf of the Crown;
[F4(c)the Bank of England;
(d)the Registrar of Government Stock;
(e)any previous Registrar of Government Stock; or
(f)in respect of a security which immediately before it became a participating security was transferable by exempt transfer within the meaning of the Stock Transfer Act 1982, a participating issuer.]
Textual Amendments
F1Words in Sch. 4 para. 19(1) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(z)
F2Words in Sch. 4 para. 19(2) inserted (24.6.2003) by The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003 (S.I. 2003/1633), regs. 1(1), 8(4)(b)
F3Sch. 4 para. 19(2A) revoked (1.10.2004) by The Local Authorities (Capital Finance) (Further Consequential and Saving Provisions) Order 2004 (S.I. 2004/2044), arts. 1, 6(3)
F4Sch. 4 para. 19(4)(c)-(f) substituted for Sch. 4 para. 19(4)(c)(d) (1.7.2004) by The Government Stock (Consequential and Transitional Provision) (No. 2) Order 2004 (S.I. 2004/1662), art. 1, Sch. para. 29(6)(c) (with art. 3, Sch. para. 1)
Commencement Information
I1Sch. 4 para. 19 in force at 26.11.2001, see reg. 1
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