SCHEDULES
I1SCHEDULE 3Restricted information held by the Regulator: certain permitted disclosures to facilitate exercise of functions
Words in Sch. 3 substituted (1.10.2009) by Companies Act 2006 (c. 46), ss. 1275(7), 1300(2); S.I. 2008/2860, art. 3(y) (with arts. 7, 8, Sch. 2 para. 1)
Words in Sch. 3 inserted (1.3.2017) by The Bank of England and Financial Services (Consequential Amendments) Regulations 2017 (S.I. 2017/80), reg. 1, Sch. para. 15(a)
Words in Sch. 3 substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 18 para. 104(3)(a) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
Words in Sch. 3 substituted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 101 (with s. 20(2), Sch. 8)
Words in Sch. 3 inserted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 87 (with Sch. 5)
Word in Sch. 3 repealed (6.4.2005) by Income Tax (Trading and Other Income) Act 2005 (c. 5), s. 883(1), Sch. 1 para. 658(a), Sch. 3 (with Sch. 2)
Word in Sch. 3 omitted (6.4.2006) by virtue of The Taxation of Pension Schemes (Consequential Amendments) Order 2006 (S.I. 2006/745), arts. 1, 18(2)(a)
Words in Sch. 3 inserted (6.4.2005) by Income Tax (Trading and Other Income) Act 2005 (c. 5), s. 883(1), Sch. 1 para. 658(b) (with Sch. 2)
Word in Sch. 3 repealed (6.4.2007) by Income Tax Act 2007 (c. 3), s. 1034(1), Sch. 1 para. 487(a), Sch. 3 Pt. 1 (with Sch. 2)
Words in Sch. 3 added (6.4.2006) by The Taxation of Pension Schemes (Consequential Amendments) Order 2006 (S.I. 2006/745), arts. 1, 18(2)(c)
Words in Sch. 3 inserted (6.4.2007) by Income Tax Act 2007 (c. 3), s. 1034(1), Sch. 1 para. 487(b) (with Sch. 2)
Words in Sch. 3 omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(a)(i) (with art. 10)
Words in Sch. 3 omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(a)(ii) (with art. 10)
Words in Sch. 3 substituted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 23(2) (with regs. 52-58)
Words in Sch. 3 omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(b) (with art. 10)
Sch. 3 entry omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(c) (with art. 10)
Sch. 3 entry omitted (7.12.2006) by virtue of The Pensions Act 2004 (Disclosure of Restricted Information) (Amendment of Specified Persons) Order 2006 (S.I. 2006/2937), arts. 1, 2(a)
Words in Sch. 3 added (7.12.2006) by The Pensions Act 2004 (Disclosure of Restricted Information) (Amendment of Specified Persons) Order 2006 (S.I. 2006/2937), arts. 1, 2(b)
Words in Sch. 3 omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(d)(i) (with art. 10)
Words in Sch. 3 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 243(12)(d)(ii) (with art. 10)
Words in Sch. 3 substituted (6.4.2012) by The Pensions Act 2004 (Disclosure of Restricted Information by the Pensions Regulator “ Amendment) Order 2012 (S.I. 2012/691), arts. 1(1), 2
Words in Sch. 3 substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 18 para. 104(3)(b) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
Words in Sch. 3 inserted (1.12.2012) by The Protection of Freedoms Act 2012 (Disclosure and Barring Service Transfer of Functions) Order 2012 (S.I. 2012/3006), arts. 1(1), 84 (with Pt. 4)
Words in Sch. 3 inserted (12.7.2016) by Immigration Act 2016 (c. 19), s. 94(1), Sch. 3 para. 25; S.I. 2016/603, reg. 3(u)
Persons | Functions |
---|---|
The Secretary of State. | Functions under—
and functions of co-operating with overseas government authorities and bodies in relation to criminal matters. |
The Bank of England. | Any of its functions F24, apart from its functions as the Prudential Regulation Authority |
F20The Financial Conduct Authority | Any of its functions |
The Prudential Regulation Authority | Any of its functions |
F17The Charity Commission . | Functions under the Charities Act 2006 or the Charities Act 2011. |
The Pensions Regulator Tribunal. | Any of its functions. |
F16The First-tier Tribunal | Functions relating to decisions of the Regulator |
The Upper Tribunal | Functions relating to decisions of the Regulator |
The Pensions Ombudsman. | Functions under—
|
The Ombudsman for the Board of the Pension Protection Fund. | Any of his functions. |
The Comptroller and Auditor General. | Any of his functions. |
The Auditor General for Wales. | Any of his functions. |
The Auditor General for Scotland. | Any of his functions. |
The Comptroller and Auditor General for Northern Ireland. | Any of his functions. |
The Commissioners of Inland Revenue or their officers. | Functions under—
|
The Commissioners of Customs and Excise. | Functions under any enactment. |
The Official Receiver or, in Northern Ireland, the Official Receiver for Northern Ireland. | Functions under the enactments relating to insolvency. |
An inspector appointed by the Secretary of State. | Functions under Part 14 of the Companies Act 1985 (c. 6). |
A person authorised to exercise powers under—
| Functions under those sections F10.... |
A person appointed under—
to conduct an investigation. | Functions in relation to that investigation. |
A body designated under section 326(1) of that Act. | Functions in its capacity as a body designated under that section. |
F22 A recognised investment exchange, recognised clearing house, EEA central counterparty or third country central counterparty (as defined by section 285 of that Act). | Functions in its capacity as an exchange, clearing house or central counterparty. |
A body corporate established in accordance with section 212(1) of that Act. | Functions under the Financial Services Compensation Scheme, established in accordance with section 213 of that Act. |
The Panel on Takeovers and Mergers. | Functions under the City Code on Takeovers and Mergers and the Rules Governing Substantial Acquisitions of Shares for the time being issued by the Panel. |
The General Insurance Standards Council. | Functions of regulating sales and advisory and service standards in relation to insurance. |
A recognised professional body (within the meaning of section 391 of the Insolvency Act 1986 (c. 45)). | Functions in its capacity as such a body under that Act. |
A person on whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002 (c. 29). | The functions so conferred. |
The Counter Fraud and Security Management Service established under the Counter Fraud and Security Management Service (Establishment and Constitution) Order 2002 (S.I. 2002/3039). | Any of its functions. |
The Department of Enterprise, Trade and Investment in Northern Ireland. | |
The Department for Social Development in Northern Ireland. | Functions under Part 3 of the Pension Schemes (Northern Ireland) Act 1993 (c. 49). |
F12. . . | F12. . . |
A recognised professional body within the meaning of Article 350 of the Insolvency (Northern Ireland) Order 1989. | Functions in its capacity as such a body under that Order. |
F5. . . | F5. . . |
F6Any body carrying on activities concerned with any of the matters set out in section 16(2) of the Companies (Audit, Investigations and Community Enterprise) Act 2004 (c.27)F13... (a “relevant body”), any subsidiary F14 (as defined in section 1159 of the Companies Act 2006) of a relevant body and any body established under the constitution of a relevant body or such a subsidiary. | Its functions relating to carrying on activities concerned with any of the following matters—
and functions relating to the funding of activities concerned with any of the matters mentioned in paragraphs (a) to (i). Any functions in connection with any levy payable to it under section 17 of the Companies (Audit, Investigations and Community Enterprise) Act 2004. |
A member of the panel appointed under paragraph 4 of Schedule 17 to the Financial Services and Markets Act 2000 (c.8) by the body corporate F21mentioned in paragraph 2 of that Schedule. | Functions under—
|
The Gambling Commission. | Functions under—
|
F19Disclosure and Barring Service | Functions under Part 5 of the Police Act 1997 |
F23Director of Labour Market Enforcement or a member of staff provided to the Director under section 1(4) of the Immigration Act 2016. | Any of the Director's functions. |
Sch. 3 in force at 6.4.2005 by S.I. 2005/275, art. 2(7), Sch. Pt. 7