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The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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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 Schedule 1 Part 4:
- Pt. 5 Ch. 1 heading Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 by S.I. 2019/681 reg. 4(14)
- Pt. 5 Ch. 2 inserted by S.I. 2019/681 reg. 4(17)
- Pt. 5 Ch. 1 heading words substituted in earlier amending provision S.I. 2019/681, reg. 4(14) by S.I. 2020/1301 reg. 3 Sch. para. 41(c)
- Pt. 5 Ch. 2 words substituted in earlier amending provision S.I. 2019/681, reg. 4(17) by S.I. 2020/1301 reg. 3 Sch. para. 41(e)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- Sch. 1 Pt. 4 Table word omitted by S.I. 2019/681 reg. 4(22)(d)(ii)
- Sch. 1 Pt. 4 Table words omitted by S.I. 2019/681 reg. 4(22)(a)
- Sch. 1 Pt. 4 Table words omitted by S.I. 2019/681 reg. 4(22)(d)(i)
- Sch. 1 Pt. 4 Table words substituted by S.I. 2019/681 reg. 4(22)(b)(i)
- Sch. 1 Pt. 4 Table words substituted by S.I. 2019/681 reg. 4(22)(b)(ii)
- Sch. 1 Pt. 4 Table words substituted by S.I. 2019/681 reg. 4(22)(c)
- Sch. 1 Pt. 4 Table words substituted by S.I. 2019/681 reg. 13(7)(d)
- Regulations amendment to earlier affecting provision S.I. 2012/3122, Sch. para. 9 by S.I. 2019/681 reg. 7
- Regulations amendment to earlier affecting provision SI 2011/99, Sch. 3 para. 11 by S.I. 2019/681 reg. 14(2)
- Regulations amendment to earlier affecting provision SI 2017/752, Sch. 6 para. 13 by S.I. 2019/681 reg. 9(3)(b)
- Regulations applied by S.I. 2024/107 reg. 29
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(i)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(ii)
- reg. 8(f) omitted by S.I. 2019/681 reg. 4(7)(e)
- reg. 9(1A) words omitted by S.I. 2019/681 reg. 4(8)(b)
- art. 9(2B)(a) substituted by 2018 c. 12 Sch. 19 para. 278(2)
- reg. 9(2B)(a) word inserted by S.I. 2019/681 reg. 4(8)(d)(i)
- reg. 9(2B)(a) words substituted by S.I. 2019/419 Sch. 3 para. 37(2)
- reg. 9(2B)(b) words substituted by S.I. 2019/681 reg. 4(8)(d)(ii)
- reg. 9(2B)(b)(iii) words substituted in earlier amending provision S.I. 2019/681, reg. 4(8)(d)(ii) by S.I. 2020/1301 reg. 3 Sch. para. 41(b)
- reg. 9(2B)(c) omitted by S.I. 2019/681 reg. 4(8)(d)(iii)
- reg. 9(2C) substituted by S.I. 2019/681 reg. 4(8)(e)
- reg. 9(2C)(c) words substituted by S.I. 2023/1313 reg. 15(3)(a)
- reg. 9(2C)(d)(i) words inserted by S.I. 2023/1313 reg. 15(3)(b)(i)
- reg. 9(2C)(d)(i) words substituted by S.I. 2023/1313 reg. 15(3)(b)(ii)
- reg. 9(2ZA) words inserted by S.I. 2019/681 reg. 4(8)(c)(ii)
- reg. 9(2ZA)(e) word omitted by S.I. 2019/681 reg. 4(8)(c)(i)
- reg. 9(3)(b)(vi) substituted for reg. 9(3)(b)(iii)(iv)(v) by S.I. 2019/681 reg. 13(4)(b)
- reg. 9(3F) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(3EA) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(4A) inserted by S.I. 2020/1406 reg. 6(3)
- reg. 9(5) word omitted by S.I. 2019/681 reg. 4(8)(m)
- art. 9(6) inserted by 2018 c. 12 Sch. 19 para. 278(3)
- reg. 9(6) substituted by S.I. 2019/419 Sch. 3 para. 37(3)
- reg. 10A heading word omitted by S.I. 2019/681 reg. 4(9)
- reg. 10A(1) word omitted by S.I. 2019/681 reg. 4(10)(a)
- reg. 10A(1)(a) word omitted by S.I. 2023/1313 reg. 15(4)(a)
- reg. 10A(1)(b) word inserted by S.I. 2023/1313 reg. 15(4)(b)
- reg. 10A(1)(c) inserted by S.I. 2023/1313 reg. 15(4)(c)
- reg. 10A(3) word omitted by S.I. 2019/681 reg. 4(10)(b)
- reg. 10B(1) word omitted by S.I. 2019/681 reg. 4(11)(a)
- reg. 10B(2) words inserted by S.I. 2023/1313 reg. 15(5)(a)
- reg. 10B(2) words substituted by S.I. 2019/681 reg. 4(11)(b)
- reg. 10B(2) words substituted by S.I. 2023/1313 reg. 15(5)(b)
- reg. 10C inserted by S.I. 2020/1406 reg. 6(4)
- reg. 10D inserted by S.I. 2024/1083 reg. 12(3)
- reg. 11(g) word omitted by S.I. 2019/681 reg. 4(13)(e)
- reg. 11(fa) omitted by S.I. 2019/681 reg. 4(13)(d)
- reg. 12D inserted by S.I. 2024/1083 reg. 12(4)
Changes and effects yet to be applied to the whole Instrument associated Parts and Chapters:
Whole provisions yet to be inserted into this Instrument (including any effects on those provisions):
- Pt. 5 Ch. 1 heading Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 by S.I. 2019/681 reg. 4(14)
- Pt. 5 Ch. 2 inserted by S.I. 2019/681 reg. 4(17)
- Pt. 5 Ch. 1 heading words substituted in earlier amending provision S.I. 2019/681, reg. 4(14) by S.I. 2020/1301 reg. 3 Sch. para. 41(c)
- Pt. 5 Ch. 2 words substituted in earlier amending provision S.I. 2019/681, reg. 4(17) by S.I. 2020/1301 reg. 3 Sch. para. 41(e)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(i)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(ii)
- reg. 8(f) omitted by S.I. 2019/681 reg. 4(7)(e)
- reg. 9(1A) words omitted by S.I. 2019/681 reg. 4(8)(b)
- art. 9(2B)(a) substituted by 2018 c. 12 Sch. 19 para. 278(2)
- reg. 9(2B)(a) word inserted by S.I. 2019/681 reg. 4(8)(d)(i)
- reg. 9(2B)(a) words substituted by S.I. 2019/419 Sch. 3 para. 37(2)
- reg. 9(2B)(b) words substituted by S.I. 2019/681 reg. 4(8)(d)(ii)
- reg. 9(2B)(b)(iii) words substituted in earlier amending provision S.I. 2019/681, reg. 4(8)(d)(ii) by S.I. 2020/1301 reg. 3 Sch. para. 41(b)
- reg. 9(2B)(c) omitted by S.I. 2019/681 reg. 4(8)(d)(iii)
- reg. 9(2C) substituted by S.I. 2019/681 reg. 4(8)(e)
- reg. 9(2C)(c) words substituted by S.I. 2023/1313 reg. 15(3)(a)
- reg. 9(2C)(d)(i) words inserted by S.I. 2023/1313 reg. 15(3)(b)(i)
- reg. 9(2C)(d)(i) words substituted by S.I. 2023/1313 reg. 15(3)(b)(ii)
- reg. 9(2ZA) words inserted by S.I. 2019/681 reg. 4(8)(c)(ii)
- reg. 9(2ZA)(e) word omitted by S.I. 2019/681 reg. 4(8)(c)(i)
- reg. 9(3)(b)(vi) substituted for reg. 9(3)(b)(iii)(iv)(v) by S.I. 2019/681 reg. 13(4)(b)
- reg. 9(3F) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(3EA) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(4A) inserted by S.I. 2020/1406 reg. 6(3)
- reg. 9(5) word omitted by S.I. 2019/681 reg. 4(8)(m)
- art. 9(6) inserted by 2018 c. 12 Sch. 19 para. 278(3)
- reg. 9(6) substituted by S.I. 2019/419 Sch. 3 para. 37(3)
- reg. 10A heading word omitted by S.I. 2019/681 reg. 4(9)
- reg. 10A(1) word omitted by S.I. 2019/681 reg. 4(10)(a)
- reg. 10A(1)(a) word omitted by S.I. 2023/1313 reg. 15(4)(a)
- reg. 10A(1)(b) word inserted by S.I. 2023/1313 reg. 15(4)(b)
- reg. 10A(1)(c) inserted by S.I. 2023/1313 reg. 15(4)(c)
- reg. 10A(3) word omitted by S.I. 2019/681 reg. 4(10)(b)
- reg. 10B(1) word omitted by S.I. 2019/681 reg. 4(11)(a)
- reg. 10B(2) words inserted by S.I. 2023/1313 reg. 15(5)(a)
- reg. 10B(2) words substituted by S.I. 2019/681 reg. 4(11)(b)
- reg. 10B(2) words substituted by S.I. 2023/1313 reg. 15(5)(b)
- reg. 10C inserted by S.I. 2020/1406 reg. 6(4)
- reg. 10D inserted by S.I. 2024/1083 reg. 12(3)
- reg. 11(g) word omitted by S.I. 2019/681 reg. 4(13)(e)
- reg. 11(fa) omitted by S.I. 2019/681 reg. 4(13)(d)
- reg. 12D inserted by S.I. 2024/1083 reg. 12(4)
PART 4U.K.
| Person | Functions |
|---|---|
| An inspector appointed under Part XIV of the Companies Act 1985 | His functions as such |
| A person authorised to exercise powers under section 447 of the Companies Act 1985 M1 | His functions as such |
| A person authorised under section 84 of the Companies Act 1989 to exercise on behalf of the Secretary of State powers conferred by section 83 of that Act M2 | His functions as such |
| The Department of Enterprise, Trade and Investment in Northern Ireland | (a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 M3 (investigation of companies and their affairs; requisition of documents) (b)Its functions under Part III of the Companies (Northern Ireland) Order 1990 (eligibility for appointment as company auditor) (c)Its functions under the Companies (Northern Ireland) Order 1989 M4 (disqualification of company directors) |
| F1. . . | F1. . . |
| F2. . . | F2. . . |
| A recognised clearing house (other than an overseas clearing house [F3, an EEA central counterparty (within the meaning of section 285(1)(c) of the Act) or a third country central counterparty (within the meaning of section 285(1)(d) of the Act)]) | Its functions as a clearing house in so far as they are exercisable in relation to defaults or potential defaults by market participants |
| A person included on the list maintained by [F4the Bank of England] for the purposes of section 301 of the Act | His functions under settlement arrangements to which regulations made under that section relate |
| A person approved under the Uncertificated Securities Regulations 1995 M5 as an operator of a relevant system (within the meaning of those Regulations) | His functions as such in so far as they are exercisable in relation to defaults or potential defaults by market participants |
| [F5A clearing house or other similar body which has its head office in an EEA State other than the United Kingdom, and which is recognised under the law of that state as a provider of clearing or settlement services | Its functions in relation to defaults or potential defaults by market participants] |
| [F6An EEA central counterparty (within the meaning of section 285(1)(c) of the Act) | Its functions in relation to defaults or potential defaults by market participants] |
| [F7A recognised CSD, EEA CSD or third country CSD (within the meaning of section 285(1)(e), (f) and (g) of the Act) | Its functions in relation to defaults or potential defaults by market participants] |
Textual Amendments
F1Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(a)
F2Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(b)
F3Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(a) (with regs. 52-58)
F4Words in Sch. 1 Pt. 4 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(9)(b)
F5Words in Sch. 1 Pt. 4 table inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(7)
F6Words in Sch. 1 Pt. 4 inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 35(6)(b) (with regs. 52-58)
F7Words in Sch. 1 Pt. 4 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 25(3) (with regs. 7(4), 9(1))
Marginal Citations
M1Section 447 was amended by the Companies Act 1989, s. 63 and Sch. 24, and by the Youth Justice and Criminal Evidence Act 1999 (c. 23), Sch. 3, paras. 4 and 6.
M2Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.
M5S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.
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