There are outstanding changes not yet made by the legislation.gov.uk editorial team to Financial Services and Markets Act 2000. Any changes that have already been made by the team appear in the content and are referenced with annotations.
Textual Amendments
F1Sch. 17A inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 29(2), 122(3), Sch. 7 (with Sch. 20); S.I. 2013/113, art. 2(1)(b)(c), Sch. Pts. 2, 3; S.I. 2013/423, art. 3, Sch.
30U.K.Section 398 (misleading the FCA: residual cases) applies to information given to the Bank in purported compliance with—
(a)a requirement that is imposed by or under any provision of Part 18 of this Act that relates to a recognised clearing house [F2, a third country central counterparty] [F3or a recognised CSD];
[F4(aa)a requirement that is imposed by or under any provision of Chapter 3C of Part 18 of this Act that relates to critical third parties;]
(b)a requirement that is imposed under any other provision of this Act by the Bank; or
(c)a requirement that is imposed by any [F5qualifying provision] specified, or of a description specified, for the purposes of this paragraph by the Treasury by order.
Textual Amendments
F2Words in Sch. 17A para. 30(a) inserted (31.12.2020) by The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2020 (S.I. 2020/646), regs. 1(3), 2(5)(d) (with savings in S.I. 2019/680, reg. 11 as amended by S.I. 2020/646, reg. 12)
F3Words in Sch. 17A para. 30(a) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 118(a); 2020 c. 1, Sch. 5 para. 1(1)
F4Sch. 17A para. 30(aa) inserted (29.8.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 19(14), 86(3); S.I. 2023/779, reg. 4(n)
F5Words in Sch. 17A para. 30(c) substituted (31.12.2020) by The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/632), regs. 1(3), 118(b); 2020 c. 1, Sch. 5 para. 1(1)
31(1)Section 401 (proceedings for an offence) applies to the Bank as if for the purposes of subsections (2)(a) and (3)(a) of that section the Bank were an appropriate regulator in respect of each of the following offences—U.K.
(a)an offence under section 177(3) where the investigation is being, or is likely to be, conducted on behalf of the Bank;
(b)an offence under section 177(4) where the requirement is imposed by the Bank;
(c)an offence under section 177(6) where the warrant is issued as a result of information on oath given by the Bank or a person appointed by it to conduct an investigation on its behalf;
[F6(ca)an offence under section 309E;]
(d)an offence under section 398(1) where the information was given to the Bank.
(2)Section 401(3B) has effect subject to the provision made by this paragraph (so that the FCA is not the appropriate regulator for the purposes of subsections (2)(a) and (3)(a) in respect of the above offences).]
Textual Amendments
F6Sch. 17A para. 31(1)(ca) inserted (29.6.2023 for specified purposes) by Financial Services and Markets Act 2023 (c. 29), s. 86(1)(e), Sch. 10 para. 20(6)
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