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The Recognised Auction Platforms Regulations 2011
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Changes over time for: PART 1
Version Superseded: 22/04/2021
Alternative versions:
- 12/12/2011- Amendment
- 10/04/2013- Amendment
- 28/11/2017
Point in time - 22/04/2021- Amendment
Status:
Point in time view as at 28/11/2017.
Changes to legislation:
The Recognised Auction Platforms Regulations 2011,
PART 1
is up to date with all changes known to be in force on or before 12 September 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.
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PART 1 U.K.General
Citation, commencement and interpretationU.K.
1.—(1) These Regulations may be cited as the Recognised Auction Platforms Regulations 2011.
(2) These Regulations come into force—
(a)for the purpose of regulations 1 to 5, 7 to 9 and 11 to 24 of, and Schedules 2 and 3 to, the Regulations, on 12th December 2011;
(b)for the purpose of regulations 6 and 10 of, and Schedule 1 to, the Regulations, on 18th June 2012.
(3) In these Regulations—
“the Act” means the Financial Services and Markets Act 2000 M1;
“auction platform” means a platform on which auctions of emissions allowances are held in accordance with the emission allowance auctioning regulation;
“auction recognition requirements” mean the requirements set out in Part 5 of these Regulations together with any requirements contained in the emission allowance auctioning regulation, or in any directly applicable Community regulation made under the market in financial instruments directive.
[F1“the Authority” means the FCA;]
“bid” means an offer in an auction of emission allowances to acquire a given volume of allowances at a specified price;
“emission allowance” means an allowance to emit one tonne of carbon dioxide equivalent during a specified period, which is valid for the purposes of meeting the requirements of the emission allowance trading directive, and which is transferable in accordance with the provisions of that directive;
“emission allowance trading directive” means Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowances trading within the Community M2;
“emission allowance auctioning regulation” means Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to the emission allowance trading directive M3;
“recognised investment exchange” means an investment exchange other than an overseas investment exchange in relation to which a recognition order has been made under section 290(1)(a);
“recognised auction platform” means a recognised investment exchange in relation to which a recognition order is in force;
“recognition order” means an order made under regulation 2;
(4) In these Regulations—
(a)unless the contrary intention appears, expressions which are also used in the Financial Services and Markets Act 2000 have the same meaning as in that Act;
(b)expressions which are also used in the emission allowance trading directive or the emission allowance auctioning regulation have the same meaning as in that directive or regulation; and
(c)reference to a numbered section, unless otherwise stated, is a reference to a section in the Act.
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