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The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
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Rhagor o Adnoddau
Changes over time for: Cross Heading: Offences
Alternative versions:
- 29/06/2017- Amendment
- 29/06/2017
Point in time
Status:
Point in time view as at 29/06/2017.
Changes to legislation:
There are outstanding changes not yet made by the legislation.gov.uk editorial team to The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017. Any changes that have already been made by the team appear in the content and are referenced with annotations.
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OffencesU.K.
Misleading the FCA or PRAU.K.
16.—(1) A person must not, for the purposes of compliance or purported compliance with a requirement imposed by or under these Regulations or by Article 28 of the markets in financial instruments regulation knowingly or recklessly give a regulator information which is false or misleading in a material particular.
(2) A person must not provide information to another person—
(a)knowing; or
(b)being reckless as to whether,
the information is false or misleading in a material particular and knowing that the information is to be provided to, or to be used for the purposes of providing information to, a regulator in connection with the discharge of its functions under these Regulations or with respect to Article 28 of the markets in financial instruments regulation.
(3) A person who contravenes sub-paragraph (1) or (2) is guilty of an offence.
(4) A person guilty of an offence under this paragraph is liable—
(a)on summary conviction—
(i)in England and Wales, to a fine;
(ii)in Scotland or Northern Ireland, to a fine not exceeding the statutory maximum; or
(b)on conviction on indictment, to a fine.
Restriction on penaltiesU.K.
17.—(1) A person who is convicted of an offence under these Regulations or under the Act as applied by these Regulations is not subsequently liable to a penalty under paragraph 11 in respect of the same acts or omissions that constituted the offence.
(2) A person who is liable to a penalty under paragraph 11 is not subsequently liable for an offence under these Regulations in respect of the same acts or omissions that constituted the contravention of a requirement imposed by or under these Regulations for the purposes of that penalty.
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