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The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016
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- UK Statutory Instruments
- 2016 No. 680
- PART 2
- Regulation 8
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Amendments to Part 6 of the 2000 ActU.K.
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8.—(1) Part 6 of the 2000 Act is amended as follows.
(2) In section 73A M1 (Part 6 Rules)—
(a)omit subsection (3); and
(b)in subsection (6) omit “, disclosure rules”.
(3) In section 91 M2 (penalties for breach of Part 6 rules)—
(a)omit subsection (1ZA); and
(b)in subsection (2) omit “(1ZA)(a),”.
(4) Omit sections 96A (disclosure of information requirements) to 96C (suspension of trading) M3.
(5) In section 97(1)(b) M4 (appointment by FCA of persons to carry out investigations) omit “(1ZA)(a),”.
(6) For section 102A(4) M5 (meaning of “securities” etc) substitute—
“(4) “Financial instrument” has the meaning given in Article 4.1.17 of the markets in financial instruments directive M6.”.
(7) In section 102B M7 (meaning of “offer of transferable securities to the public” etc.)—
(a)for subsection (5)(c) substitute—
“(c)a prescribed market.”; and
(b)after subsection (5) insert—
“(5A) The Treasury may make regulations to specify (whether by name or description) the markets which are prescribed markets for the purposes of subsection (5)(c).”.
(8) In section 102C(a) M8(meaning of “home State” in relation to transferable securities) omit “and in section 96A”.
(9) In section 103(1) M9 (definitions) omit the definitions of “disclosure rules” and “inside information”.
(10) Omit Schedule 11B M10(connected persons).
Marginal Citations
M1Section 73A was inserted by S.I. 2005/381 and amended by section 16(4) of the Financial Services Act 2012.
M2Section 91 was amended by S.I. 2005/1433, 2005/381, 2015/1755, paragraphs 6(2) to (4) of Schedule 15 to the Companies Act 2006 (c. 46) and by sections 16(3)(g) and 20 of the Financial Services Act.
M3Sections 96A to 96C were inserted by S.I. 2005/381. Section 96A was amended by 2012/1538 and section 16(3) of the Financial Services Act 2012. Section 96B was amended by S.I. 2009/2461 and paragraph 7(a) and (b) of Schedule 15 to the Companies Act 2006 (c.46). Section 96C was amended by section 16(3)(g) of the Financial Services Act 2012.
M4Section 97(1)(b) was amended by S.I. 2015/1755.
M5Section 102A(4) was amended by S.I. 2008/3053.
M6OJ No L 145, 30.04.2004, p1.
M7Section 102B was amended by S.I. 2005/1433 and 2007/126.
M8Section 102C was amended by S.I. 2015/1755.
M9Section 103(1) was amended by S.I. 2005/1433, 2008/1886, 2012/1538, 2013/113, 2014/3293, 2015/1755, sections 16(3)(i) and (14)(g) of the Financial Services Act 2012 and by section 1265 and paragraphs 11(2) and (3) of Schedule 15 to the Companies Act 2006.
M10Schedule 11B was inserted by S.I. 2009/2461.
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