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The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020

Draft Legislation:

This is a draft item of legislation. This draft has since been made as a UK Statutory Instrument: The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 No. 1385

  1. Introductory Text

  2. PART 1 General provision

    1. 1.Citation and commencement

  3. PART 2 Transitional and saving provisions concerning the SFT Regulation

    1. CHAPTER 1 Advance applications

      1. 2.Advance application for registration as a trade repository

      2. 3.Assessment of whether an advance application is complete

      3. 4.Determination of an advance application

      4. 5.Effect of determining an advance application

    2. CHAPTER 2 Temporary registration

      1. 6.Temporary deemed registration under the SFT Regulation

      2. 7.Application of regulation 6

      3. 8.Conditions to be satisfied for regulation 6 to apply

      4. 9.Period during which regulation 6 is to apply

      5. 10.Cessation following a determination by the FCA

    3. CHAPTER 3 Temporary registration for run-off period

      1. 11.Temporary deemed registration under the SFT Regulation for run-off period

      2. 12.Application of regulation 11

      3. 13.Condition to be satisfied for regulation 11 to apply

      4. 14.Period during which regulation 11 is to apply

      5. 15.Transitional arrangements during the run-off period

      6. 16.Notification of a decision to impose requirements under regulation 15

      7. 17.Right to refer to the Tribunal

      8. 18.Application of Part 9 of the Financial Services and Markets Act 2000

    4. CHAPTER 4 Registration conversion

      1. 19.Registration under the SFT Regulation

      2. 20.Application to regulation 19

      3. 21.Conditions to be satisfied for regulation 19 to apply

      4. 22.Notification for registration

      5. 23.Acknowledgement of receipt

      6. 24.FCA response

    5. CHAPTER 5 General provisions

      1. 25.Misleading the FCA: criminal offence

      2. 26.Further information to be supplied by a person to whom regulation 9 or 13 applies

      3. 27.Directions

      4. 28.Enforcement

      5. 29.Interpretation

  4. PART 3 Transitional and saving provisions concerning the Securitisation Regulation

    1. CHAPTER 1 Advance applications

      1. 30.Advance application for registration as a securitisation repository

      2. 31.Assessment of whether an advance application is complete

      3. 32.Determination of an advance application

      4. 33.Effect of determining an advance application

    2. CHAPTER 2 General provisions

      1. 34.Misleading the FCA: criminal offence

      2. 35.Directions

      3. 36.Interpretation

  5. PART 4 Amendment of primary legislation

    1. 37.Insolvency Act 1986

    2. 38.Financial Services and Markets Act 2000

    3. 39.Banking Act 2009

  6. PART 5 Amendment of secondary legislation

    1. 40.The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

    2. 41.The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

    3. 42.The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018

    4. 43.The Financial Regulators’ Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018

    5. 44.The Central Counterparties (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2018

    6. 45.The Credit Transfers and Direct Debits in Euro (Amendment) (EU Exit) Regulations 2018

    7. 46.The Deposit Guarantee Scheme and Miscellaneous Provisions (Amendment) (EU Exit) Regulations 2018

    8. 47.The Trade Repositories (Amendment and Transitional Provision) (EU Exit) Regulations 2018

    9. 48.The Capital Requirements (Amendment) (EU Exit) Regulations 2018

    10. 49.The Markets in Financial Instruments (Amendment) (EU Exit) Regulations 2018

    11. 50.The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019

    12. 51.The Market Abuse (Amendment) (EU Exit) Regulations 2019

    13. 52.The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019

    14. 53.The Packaged Retail and Insurance-based Investment Products (Amendment) (EU Exit) Regulations 2019

    15. 54.The Solvency 2 and Insurance (Amendment, etc.) (EU Exit) Regulations 2019

    16. 55.The Equivalence Determinations for Financial Services and Miscellaneous Provisions (Amendment etc) (EU Exit) Regulations 2019

    17. 56.The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019

    18. 57.The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019

    19. 58.The Benchmarks (Amendment and Transitional Provision) (EU Exit) Regulations 2019

    20. 59.The Securitisation (Amendment) (EU Exit) Regulations 2019

    21. 60.The Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019

    22. 61.The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019

    23. 62.The International Accounting Standards and European Public Limited-Liability Company (Amendment etc.) (EU Exit) Regulations 2019

    24. 63.The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019

    25. 64.The Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations 2019

    26. 65.The Capital Requirements (Amendment) (EU Exit) Regulations 2019

    27. 66.The Prospectus (Amendment etc.) (EU Exit) Regulations 2019

    28. 67.The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) (No. 2) Regulations 2019

    29. 68.The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020

    30. 69.The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2020

    31. 70.The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020

    32. 71.Amendments to cross references to retained EU Regulations

  7. PART 6 Amendment or revocation of retained direct EU legislation

    1. 72.Regulation (EC) No 924/2009

    2. 73.Regulation (EU) No 231/2013

    3. 74.Regulation (EU) No 575/2013

    4. 75.Regulation (EU) 2015/2365

    5. 76.Regulation (EU) 2019/877

    6. 77.Regulation (EU) 2019/2088

    7. 78.Regulation (EU) 2020/852

  8. Signature

    1. SCHEDULE

      Cross references to EU regulations forming part of retained EU law

      1. 1.(1) For the text specified in sub-paragraph (2) substitute “forms...

  10. Explanatory Note

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