C1 Part XVIIIF2Recognised investment exchanges, clearing houses F9, CSDs and other parties
Words in Pt. 18 heading substituted (29.8.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 18(2), 86(3); S.I. 2023/779, reg. 4(m)
Pt. 18 applied in part (with modifications) (12.12.2011) by The Recognised Auction Platforms Regulations 2011 (S.I. 2011/2699), reg. 7, Sch. 2 (as amended (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 37 (with regs. 7(4), 9(1)))
C5F1CHAPTER 3BDisciplinary measures F8in respect of recognised bodies
Pt. 18 Ch. 3B 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. 33, 122(3) (with Sch. 20); S.I. 2013/113, art. 2(1)(b)(c), Sch. Pts. 2, 3; S.I. 2013/423, art. 3, Sch.
Words in Pt. 18 Ch. 3B heading inserted (29.6.2023 for specified purposes) by Financial Services and Markets Act 2023 (c. 29), s. 86(1)(e), Sch. 10 para. 9
Pt. 18 Ch. 3B applied (with modifications) (5.4.2024) by The Data Reporting Services Regulations 2024 (S.I. 2024/107), regs. 1(2), 19; S.I. 2023/1382, reg. 4(c)
C2C3C4312EPublic censure
1
F41A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
Where the FCA is the appropriate regulator, a requirement is a “relevant requirement” for the purposes of this Chapter if it is—
a
a requirement that is imposed by or under any provision of this Part that relates to a recognised investment exchange F12or data reporting service provider,
b
a requirement that is imposed under any other provision of this Act by the FCA that relates to a recognised investment exchange,
c
a requirement that is imposed by a F5qualifying provision specified, or of a description specified, for the purposes of this subsection by the Treasury by order, or
d
a requirement that is imposed by this Act and whose contravention constitutes an offence that the FCA has power to prosecute under this Act (see section 401).
3
Where the Bank of England is the appropriate regulator, a requirement is a “relevant requirement” for the purposes of this Chapter if it is—
a
a requirement that is imposed by or under any provision of this Part that relates to a recognised clearing house F6, third country central counterparty or a recognised CSD,
b
a requirement that is imposed under any other provision of this Act by the Bank,
c
d
a requirement that is imposed by this Act and whose contravention constitutes an offence that the Bank has power to prosecute under this Act (see section 401, as applied by paragraph 31 of Schedule 17A).
F134
In this Chapter “data reporting service provider” has the meaning given by regulation 2 of the F14Data Reporting Services Regulations 2024.
Pt. 18 heading substituted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(8) (with regs. 7(4), 9(1))