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Financial Services and Markets Act 2000
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Changes over time for: Section 398
Version Superseded: 01/04/2013
Alternative versions:
- 18/06/2001- Amendment
- 01/11/2012- Amendment
- 01/11/2012
Point in time - 01/04/2013- Amendment
- 22/07/2013- Amendment
- 01/01/2014- Amendment
- 20/04/2015- Amendment
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Financial Services and Markets Act 2000, Section 398 is up to date with all changes known to be in force on or before 30 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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398 Misleading the Authority: residual cases.U.K.
This section has no associated Explanatory Notes
(1)A person who, in purported compliance with any requirement imposed by or under this Act [F1or by the short selling regulation], knowingly or recklessly gives the Authority information which is false or misleading in a material particular is guilty of an offence.
(2)Subsection (1) applies only to a requirement in relation to which no other provision of this Act creates an offence in connection with the giving of information.
(3)A person guilty of an offence under this section is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to a fine.
Textual Amendments
F1Words in s. 398(1) inserted (1.11.2012) by The Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (S.I. 2012/2554), regs. 1(1), 2(14)
Modifications etc. (not altering text)
C1S. 398 extended (1.12.2001) by S.I. 2001/3646, arts. 1(2), 3(3)(b)(4)
S. 398 excluded (1.12.2001) by S.I. 2001/3646, arts. 1(2), 2(6)
C2S. 398 modified (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 12(2)
C3S. 398 applied (with modifications) (7.6.2010) by The Credit Rating Agencies Regulations 2010 (S.I. 2010/906), reg. 25
C4S. 398 applied (1.11.2012) by The Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (S.I. 2012/2554), regs. 1(1), 5(5)
C5S. 398(1)(3) applied (1.12.2001) by S.I. 1995/1537, reg. 23(5) (as amended (1.12.2001) by S.I. 2001/3649, arts. 1, 509(f))
C6S. 398(1)(3) applied (6.3.2008) by The Regulated Covered Bonds Regulations 2008 (S.I. 2008/346), reg. 38(1)
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