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Regulation (EC) No 1060/2009 of the European Parliament and of the CouncilShow full title
Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (Text with EEA relevance)
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Revised version PDFs
- Revised 01/01/20190.61 MB
- Revised 21/06/20150.58 MB
- Revised 23/05/20140.57 MB
- Revised 20/06/20130.58 MB
- Revised 21/07/20110.96 MB
- Revised 01/06/20110.95 MB
- Revised 07/12/20090.19 MB
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Changes over time for: TITLE IV
Changes to legislation:
Regulation (EC) No 1060/2009 of the European Parliament and of the Council, TITLE IV is up to date with all changes known to be in force on or before 14 January 2025. 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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Changes and effects yet to be applied to Title IV:
- Regulation power to amend conferred by 2021 c. 22 s. 6
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1
TITLE IVU.K.[F1Amendment to Annexes]
CHAPTER IU.K.[F2Penalties, fines, periodic penalty payments, committee procedure, delegated powers and reporting]
F3Article 36U.K.Penalties
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F3Article 36aU.K.Fines
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F3Article 36bU.K. Periodic penalty payments
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F3Article 36cU.K. Hearing of the persons subject to the proceedings
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F3Article 36dU.K. Disclosure, nature, enforcement and allocation of fines and periodic penalty payments
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F3Article 36eU.K. Review by the Court of Justice of the European Union
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Textual Amendments
F3Arts. 36-36e omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 94 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
[F2Article 37U.K.Amendments to Annexes
In order to take account of developments, including international developments, on financial markets, in particular in relation to new financial instruments, [F4the Treasury may amend Annexes I and II by regulations].]
Textual Amendments
F4Words in Art. 37 substituted (31.12.2020) by The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 95 (as substituted by S.I. 2020/628, regs. 1(3), 9(3)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
[F5Article 38U.K.Treasury Regulations
1.Any power to make regulations conferred on the Treasury by this Regulation is exercisable by statutory instrument.
2.Such regulations may—
(a)make incidental, supplemental, consequential or transitional provision;
(b)make different provision for different purposes; and
(c)amend or revoke any decision to which Article 5(1)(b)(ii) refers.
3.Unless paragraph 4 applies, a statutory instrument containing regulations made under this Regulation is subject to annulment in pursuance of a resolution of either House of Parliament.
4.A statutory instrument containing regulations made in exercise of the power in subparagraph 3 of Article 5(6) may not be made unless a draft of the instrument has been laid before Parliament and approved by a resolution of each House.]
Textual Amendments
F5Art. 38 substituted (31.12.2020) by The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(1) (as amended by S.I. 2020/628, regs. 1(3), 9(4); S.I. 2020/1055, regs. 1(2), 14) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 38aU.K.Exercise of the delegation
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 38bU.K. Revocation of the delegation
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 38cU.K. Objections to delegated acts
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 39U.K.Reports
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 39aU.K.ESMA’s staffing and resources
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 39bU.K.Reporting obligations
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
CHAPTER IIU.K.Transitional and final provisions
F6Article 40U.K.Transitional provision
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 40aU.K. Transitional measures related to ESMA
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F6Article 41U.K.Entry into force
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Textual Amendments
F6Arts. 38a-41 omitted (31.12.2020) by virtue of The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 96(2) (as amended by S.I. 2020/628, regs. 1(3), 9(4)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F1Title 4 heading substituted (31.12.2020) by The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 93 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
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