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The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020
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Changes to legislation:
The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020, CHAPTER 4 is up to date with all changes known to be in force on or before 09 November 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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Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.
Changes and effects yet to be applied to Part 2 Chapter 4:
- Regulations revoked by 2023 c. 29 Sch. 1 Pt. 2
CHAPTER 4U.K.Registration conversion
Registration under the SFT RegulationU.K.
19.—(1) Notwithstanding Articles 5 to 10 of the SFT Regulation, a person to whom this regulation applies is, on and after IP completion day, registered as a trade repository under Chapter III of that Regulation.
(2) Reference in an enactment to a person registered under that Chapter, however expressed, includes a person registered by virtue of this regulation.
Commencement Information
I1Reg. 19 in force at 27.11.2020, see reg. 1(2)
Application to regulation 19U.K.
20. Regulation 19 applies to a person who—
(a)satisfies the conditions in regulation 21; and
(b)notifies the FCA in accordance with regulation 22.
Commencement Information
I2Reg. 20 in force at 27.11.2020, see reg. 1(2)
Conditions to be satisfied for regulation 19 to applyU.K.
21. The conditions are that the person is a body corporate which, immediately before IP completion day, is—
(a)incorporated under the law of any part of the United Kingdom; and
(b)registered as a trade repository under the EU SFT Regulation.
Commencement Information
I3Reg. 21 in force at 27.11.2020, see reg. 1(2)
Notification for registrationU.K.
22.—(1) The person must, no later than the final day, notify the FCA that the person wishes to be registered in accordance with regulation 19.
(2) For the purposes of paragraph (1), the notification must—
(a)be made in such a manner as the FCA may direct; and
(b)contain, or be accompany by, such information as the FCA may direct.
(3) For the purposes of paragraph (1), the final day is—
(a)the day before IP completion day; or
(b)such earlier day as the FCA may direct.
Commencement Information
I4Reg. 22 in force at 27.11.2020, see reg. 1(2)
Acknowledgement of receiptU.K.
23. The FCA must, within a period of 10 working days beginning with the day on which it receives a notification under regulation 22, confirm in writing to the person making the notification that the notification has been received.
Commencement Information
I5Reg. 23 in force at 27.11.2020, see reg. 1(2)
FCA responseU.K.
24. The FCA must, within a period of 20 working days beginning with the day on which it receives a notification under regulation 22—
(a)if it considers that the notification complies with the requirements of, or made under, that regulation, confirm in writing to the person making the notification that the notification is valid; or
(b)if it considers that the notification does not comply with those requirements—
(i)confirm in writing to the person making the notification that the notification is not valid; and
(ii)where applicable, inform the person of the steps which need to be taken, and the time within which they need to be taken, for the notification to be considered valid.
Commencement Information
I6Reg. 24 in force at 27.11.2020, see reg. 1(2)
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