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The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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- UK Statutory Instruments
- 2001 No. 2188
- SCHEDULE 1
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Alternative versions:
- 18/06/2001- Amendment
- 19/07/2001- Amendment
- 08/11/2001- Amendment
- 01/12/2001- Amendment
- 02/05/2003- Amendment
- 23/08/2003- Amendment
- 26/11/2003- Amendment
- 25/11/2005- Amendment
- 20/01/2007- Amendment
- 02/03/2009- Amendment
- 11/02/2010- Amendment
- 31/12/2010- Amendment
- 12/05/2011- Amendment
- 16/04/2012- Amendment
- 01/04/2013- Amendment
- 01/01/2014- Amendment
- 01/04/2014- Amendment
- 28/04/2014- Amendment
- 21/11/2014- Amendment
- 10/01/2015- Amendment
- 12/04/2017- Amendment
- 28/11/2017- Amendment
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 (Disclosure of Confidential Information) Regulations 2001. Any changes that have already been made by the team appear in the content and are referenced with annotations.
Changes to Legislation
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:
- 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 applied by S.I. 2019/926 reg. 29(1)(d)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- Sch. 1 Pt. 1 modified by S.I. 2019/926 reg. 29(2)
- Sch. 1 table word inserted by S.I. 2023/1313 reg. 15(6)(c)(i)
- Sch. 1 Pt. 1 words inserted by S.I. 2018/1253 art. 99(2)
- Sch. 1 Pt. 1 words inserted by S.I. 2021/494 reg. 5(a)
- Sch. 1 table words inserted by S.I. 2023/1313 reg. 15(6)(b)(i)
- Sch. 1 table words inserted by S.I. 2023/1313 reg. 15(6)(b)(ii)
- Sch. 1 table words inserted by S.I. 2023/1313 reg. 15(6)(c)(ii)
- Sch. 1 table words inserted by S.I. 2023/1313 reg. 15(6)(d)(ii)
- Sch. 1 heading words substituted by S.I. 2019/681 reg. 4(18)
- Sch. 1 table words substituted by S.I. 2023/1313 reg. 15(6)(a)
- Sch. 1 table words substituted by S.I. 2023/1313 reg. 15(6)(d)(i)
- Sch. 1 Pt. 1 table words inserted by 2023 c. 29 Sch. 12 para. 12
- Sch. 1 Pt. 1 Table words omitted by S.I. 2019/681 reg. 4(19)(b)
- Sch. 1 Pt. 1 Table words omitted by S.I. 2019/681 reg. 4(19)(d)
- Sch. 1 Pt. 1 Table words omitted by S.I. 2019/681 reg. 4(19)(e)
- Sch. 1 Pt. 1 Table words omitted by S.I. 2019/681 reg. 4(19)(f)
- Sch. 1 Pt. 1 Table words omitted by S.I. 2019/681 reg. 4(19)(g)
- Sch. 1 Pt. 1 Table words substituted by S.I. 2019/681 reg. 4(19)(a)
- Sch. 1 Pt. 1 Table words substituted by S.I. 2019/681 reg. 4(19)(c)
- Sch. 1 Pt. 1 Table words substituted by S.I. 2019/681 reg. 13(7)(a)(i)
- Sch. 1 Pt. 1 Table words substituted by S.I. 2019/681 reg. 13(7)(a)(ii)
- Sch. 1 Pt. 1 Table words substituted in earlier amending provision S.I. 2019/681, reg. 4(19)(c) by S.I. 2020/1301 reg. 3 Sch. para. 41(d)
- Sch. 1 Pt. 2 Table omitted by S.I. 2019/681 reg. 4(20)
- Sch. 1 Pt. 2 Table words inserted by S.I. 2019/681 reg. 13(7)(b)
- Sch. 1 Pt. 3 Table words inserted by S.I. 2019/681 reg. 13(7)(c)
- Sch. 1 Pt. 3 table words inserted by S.I. 2020/1406 reg. 6(5)(a)
- Sch. 1 Pt. 3 Table words omitted by S.I. 2019/681 reg. 4(21)(a)
- Sch. 1 Pt. 3 Table words substituted by S.I. 2019/681 reg. 4(21)(b)
- Sch. 1 Pt. 3 Table words substituted by S.I. 2019/681 reg. 4(21)(c)
- Sch. 1 Pt. 3 Table words substituted by S.I. 2019/681 reg. 4(21)(d)
- 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)
- Sch. 1 Pt. 5 Table omitted by S.I. 2019/681 reg. 4(23)
- 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)
Regulations 9, 10 and 12
SCHEDULE 1U.K. DISCLOSURE OF CONFIDENTIAL INFORMATION WHETHER OR NOT SUBJECT TO [F1SINGLE MARKET RESTRICTIONS]
Textual Amendments
F1Words in Sch. 1 heading substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(12)
Modifications etc. (not altering text)
C1Sch. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(h) (as amended (9.12.2015) by The Payment Card Interchange Fee Regulations 2015 (S.I. 2015/1911), regs. 1, 17(3) and (26.6.2017) by The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (S.I. 2017/692), reg. 1(2), Sch. 7 para. 24(10) (with regs. 8, 15))
C2Sch. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(h)
PART 1U.K.
Modifications etc. (not altering text)
C3Sch. 1 Pt. 1 modified (19.7.2001 for specified purposes, 1.12.2001 in so far as not already in force) by The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (S.I. 2001/2326), arts. 1(1), 18(2)(d)
C4Sch. 1 Pt. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(g)
C5Sch. 1 Pt. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(g)
| Person | Functions |
|---|---|
| The Bank of England, the European Central Bank or the central bank of any country or territory outside the United Kingdom | (a)Its functions as a monetary authority (b)Its functions in relation to overseeing payment systems [F2, clearing and settlement systems and central securities depositories within the meaning of the CSD regulation] |
| [F3The Bank of England | Its functions under Parts 1, 2 and 3 of the Banking Act 2009 and under the Investment Bank Special Administration Regulations 2011] |
| [F4The FCA | The functions conferred on it by or under the Act] |
| [F5The PRA | The functions conferred on it by or under the Act] |
| A body (other than a central bank) in a country or territory outside the United Kingdom having (a) functions as a monetary authority or (b) responsibility for overseeing payments systems | Its functions as such |
| A recognised investment exchange (other than an overseas investment exchange) | Its functions as such |
| The body known as the Panel on Takeovers and Mergers | All of its functions |
| The Society of Lloyd’s | Its regulatory functions |
| F6. . . | F6. . . |
| [F7[F8The Competition and Markets Authority] | (a)Its functions under the Act (b)Its functions under any other enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities [F9; or (iii) financial organisations within the meaning of [F10article 56(a) of the capital requirements directive] |
| An official receiver appointed under section 399 of the Insolvency Act 1986 M1, or an official receiver for Northern Ireland appointed under article 355 of the Insolvency (Northern Ireland) Order 1989 M2 | His functions under enactments relating to insolvency, in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities; [F11or (iii) banking group companies (as defined in section 81D of the Banking Act 2009)] |
| [F12A person appointed in judicial or administrative proceedings in an EEA State or a State which is not an EEA State, pursuant to a law relating to insolvency, to administer the reorganisation or the liquidation of a debtor's assets or affairs | That person's functions as such] |
| The scheme manager | Its functions under Part XV of the Act |
| A body responsible, in an EEA State other than the United Kingdom, for administering a deposit-guarantee scheme recognised in accordance with directive 94/19/EC M3, or an investor-compensation scheme recognised in accordance with Directive 97/9/EC M4 | Its functions as such |
| A designated professional body within the meaning of Part XX of the Act | Its functions as such |
| A body which was, immediately before the coming into force of section 19 of the Act, a recognised professional body within the meaning of the Financial Services Act 1986 M5 | Its functions as such under that Act or under the Act |
| A person appointed to make a report under section 166 [F13or 166A] of the Act | His functions as such |
| A person appointed to conduct an investigation under section 167 or section 168(3) or (5) of the Act | His functions as such |
| An auditor exercising functions conferred by or under the Act | Those functions |
| An auditor of an authorised person [F14or banking group company (as defined in section 81D of the Banking Act 2009)] appointed under or as a result of an enactment (other than the Act) | His functions as such |
| [F15A person appointed to carry out a statutory audit of a company within the meaning of Article 2.1 of Directive 2006/43/EC of the European Parliament and of the Council of 17th May 2006 on statutory audits and consolidated accounts | That person's functions as such] |
| An actuary exercising functions conferred by or under the Act | Those functions |
| A person appointed as an inspector under section 49 of the Industrial and Provident Societies Act 1965 M6 | His functions as such |
| A person appointed as an inspector under section 18 of the Credit Unions Act 1979 M7 | His functions as such |
| A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 M8 | His functions as such |
| A person appointed as an investigator under section 55 of the Building Societies Act 1986 or as an inspector under section 56 of that Act M9 | His functions as such |
| A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 M10 | His functions as such |
| A person appointed as an investigator under section 65 of the Friendly Societies Act 1992 M11 or as an inspector under 66 of that Act | His functions as such |
| A recognised supervisory body within the meaning of [F16Part 42, Chapter 2 of the Companies Act 2006] | (a)Its functions as such a body under that Part (b)Its functions in relation to disciplinary proceedings against auditors |
| A qualifying body as defined by [F17section 1220 of the Companies Act 2006] | Its functions as such |
| The Institute of Actuaries or the Faculty of Actuaries | [F18Their supervisory functions in relation to the exercise by an actuary of his professional duties, including the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings] |
| A recognised professional body within the meaning of section 391 of the Insolvency Act 1986 or article 350 of the Insolvency (Northern Ireland) Order 1989 | (a)Its functions as such a body under that Act or that Order (b)Its functions in relation to disciplinary proceedings against insolvency practitioners |
| The Department of Enterprise, Trade and Investment in Northern Ireland | (a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 (financial markets and insolvency) M12 (b)Its functions under Part XII of the Insolvency (Northern Ireland) Order 1989 (c)Its functions under any other enactment in so far as they relate to the supervison of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities |
| [F19The Pensions Regulator] | [F20Its functions as such] in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities |
| The Charity Commissioners for England and Wales | Their functions under any enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities |
| [F21The investigator appointed under section 84 of the Financial Services Act 2012] | His functions as such |
| [F22A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under [F23section 68 of the Financial Services Act 2012]), or an officer or member of staff of such an inquiry | His functions in carrying out the inquiry and reporting to the Treasury] |
| [F24An investment exchange which has its head office in an EEA State other than the United Kingdom, and which is recognised as an investment exchange under the law of that state | Its functions as a supervisor of financial markets] |
| [F25A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002 | Those functions] |
| [F26A person authorised by the Secretary of State for the purposes of [F27section 456 of the Companies Act 2006] | His functions as such] |
| [F28Any body carrying on activities concerned with any of the matters set out in section 16(2) of the Companies (Audit, Investigations and Community Enterprise) Act 2004 | Its functions as such] |
| [F28Any body carrying on activities concerned with any of the matters set out in section 14 of the Companies (Audit, Investigations and Community Enterprise) Act 2004 | Its functions as such] |
| [F28The Financial Reporting Council and its operating bodies | Their supervisory functions in relation to the exercise by an actuary of his professional duties, the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings] |
| [F29ACER | Its functions under Regulation (EU) No. 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency] |
| [F29ESAs | Their functions under Regulation (EU) No. 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), Regulation (EU) No. 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority) and Regulation (EU) No. 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority)] |
| [F29ESRB | Its functions under Regulation (EU) No. 1092/2010 of the European Parliament and the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board]]] |
| [F30The Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013 | All of its functions] |
| [F31The Comptroller and Auditor General | (a) That person’s function under section 6 of the National Audit Act 1983 of carrying out examinations into the economy, efficiency and effectiveness with which the FCA has used its resources in discharging its functions (b) That person’s function of carrying out examinations under section 7D of the Bank of England Act 1998] |
| [F31The National Audit Office | Functions for which it is responsible by virtue of section 22 of, and Schedule 3 to, the Budget Responsibility and National Audit Act 2011 in relation to— (i) examinations under section 6 of the National Audit Act 1983 in respect of the FCA; or (ii) examinations under section 7D of the Bank of England Act 1998] |
Textual Amendments
F2Words in Sch. 1 Pt. 1 substituted (21.11.2014) by The Central Securities Depositories Regulations 2014 (S.I. 2014/2879), regs. 1(1), 7
F3Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(i)
F4Words in Sch. 1 Pt. 1 inserted (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)(a)(ii)
F5Words in Sch. 1 Pt. 1 inserted (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)(a)(iii)
F6Words in Sch. 1 Pt. 1 Table omitted (1.4.2014) by virtue of The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(2)(b) (with art. 3)
F7Words in Sch. 1 Pt. 1 Table inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(a)
F8Words in Sch. 1 Pt. 1 Table substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/549), art. 1(1), Sch. 1 para. 30(2)(a) (with art. 3)
F9Words in Sch. 1 Pt. 1 Table inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(b)
F10Words in Sch. 1 Pt. 1 table substituted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 55(4)(b)
F11Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(ii)
F12Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(iii)
F13Words in Sch. 1 Pt. 1 inserted (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)(a)(iv)
F14Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(iv)
F15Words in Sch. 1 Pt. 1 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(a)(v)
F16Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(a)
F17Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(b)
F18Words in Sch. 1 Pt. 1 table substituted (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(a)
F19Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(a)
F20Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(b)
F21Words in Sch. 1 Pt. 1 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)(a)(v)
F22Words in Sch. 1 Pt. 1 table inserted (8.11.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2001 (S.I. 2001/3437), regs. 1, 2
F23Words in Sch. 1 Pt. 1 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)(a)(vi)
F24Words in Sch. 1 Pt. 1 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(6)
F25Words in Sch. 1 Pt. 1 table added (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(b)
F26Words in Sch. 1 Pt. 1 table added (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(b)
F27Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(c)
F28Words in Sch. 1 Pt. 1 Table added (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(2)
F29Words in Sch. 1 Pt. 1 table inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(13)
F30Words in Sch. 1 Pt. 1 table added (28.4.2014) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2014 (S.I. 2014/883), regs. 1, 2(2)
F31Words in Sch. 1 Pt. 1 inserted (12.4.2017) by The Financial Services and Markets Act 2000 and the Financial Services (Banking Reform) Act 2013 (Disclosure of Confidential Information) (Amendment) Regulations 2017 (S.I. 2017/456), regs. 1, 2(2)
Marginal Citations
M3OJ No. L135, 31.5.1994, p. 5.
M4OJ No. L084, 26.3.1997, p. 22.
M81986 c. 53. Section 52 was amended by the Building Societies Act 1997 (c. 32), Sch. 7, para. 17.
M9Sections 55 and 56 were amended by the Building Societies Act 1997, Sch. 7, paras 21 and 22 (respectively).
M10Section 62 was amended by S.I. 1994/1984, reg. 17.
M11Section 65 was amended by S.I. 1994/1984, reg. 19.
PART 2U.K.
| Person | Functions |
|---|---|
| An EEA regulatory authority | (a)Its functions as an EEA competent authority (b)Its functions corresponding to any of the functions specified in the second column of Part 1 of this Schedule |
| [F32An EEA resolution authority | Its functions under the recovery and resolution directive] |
| [F33An authority responsible for maintaining the stability of the financial system in an EEA State through macro-prudential regulation | Its functions as such] |
Textual Amendments
F32Words in Sch. 1 Pt. 2 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(b)(i)
F33Words in Sch. 1 Pt. 2 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(b)(ii)
PART 3U.K.
| Person | Functions |
|---|---|
| A dependent territory regulatory authority | Its functions as such |
| A non-EEA regulatory authority | Its functions as such |
| [F34A foreign resolution authority | Its functions as such] |
Textual Amendments
F34Words in Sch. 1 Pt. 3 inserted (10.1.2015) by The Bank Recovery and Resolution (No. 2) Order 2014 (S.I. 2014/3348), art. 1(2), Sch. 3 para. 8(7)(c)
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 M13 | 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 M14 | 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 M15 (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 M16 (disqualification of company directors) |
| F35. . . | F35. . . |
| F36. . . | F36. . . |
| A recognised clearing house (other than an overseas clearing house [F37, 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 [F38the 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 M17 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 |
| [F39A 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] |
| [F40An 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] |
| [F41A 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
F35Sch. 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)
F36Sch. 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)
F37Words 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)
F38Words 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)
F39Words 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)
F40Words 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)
F41Words 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
M13Section 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.
M14Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.
M17S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.
[F42PART 5U.K.
Textual Amendments
F42Sch. 1 Pt. 5 inserted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(4)(c)
| Person | Functions |
|---|---|
| A central government department in another EEA state, responsible for legislation on the supervision of credit institutions, financial institutions, investment services and insurance companies | Its functions as such] |
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