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The Financial Markets and Insolvency (Settlement Finality) Regulations 1999
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- UK Statutory Instruments
- 1999 No. 2979
- PART II
- Regulation 6
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Changes and effects yet to be applied to Regulation 6:
- Sch. para. 1(5) inserted by S.I. 2010/2993 reg. 2(17)(a)
- Sch. para. 5(1A)(1B) inserted by S.I. 2010/2993 reg. 2(17)(d)
- Sch. para. 4(ba) inserted by S.I. 2013/472 Sch. 2 para. 27(e)(ii)
- Sch. para. 5(4)(c) inserted by S.I. 2019/341 reg. 10(d)(iii)
- Regulations amendment to earlier affecting provision S.I. 2021/716, reg. 5 by S.I. 2023/1399 reg. 4
- Regulations applied (with modifications) by S.I. 2009/317 art. 3 Sch.
- Regulations applied (with modifications) by S.I. 2011/245 Sch. 6 Pt. 1
- Regulations applied (with modifications) by S.I. 2021/716 Sch. 3 para. 2 3
- Regulations power to amend or revoke conferred by 2023 c. 29 s. 15 17
- Regulations power to modify conferred by 2023 c. 29 s. 3 Sch. 1 Pt. 2
- Regulations power to modify conferred by 2023 c. 29 s. 13 17
- Regulations revoked by 2023 c. 29 Sch. 1 Pt. 2
- reg. 2(2)(za) inserted by S.I. 2017/80 Sch. para. 23
- reg. 2(2A)(2B) inserted by S.I. 2014/3348 Sch. 3 para. 7
- reg. 2(2A) words omitted by S.I. 2019/341 reg. 5(3)(a)
- reg. 2(2A)(a) words substituted by S.I. 2019/341 reg. 5(3)(b)
- reg. 2(2A)(b) word substituted by S.I. 2019/341, reg. 5(3)(c) (as inserted) by S.I. 2019/710 reg. 20(2)
- reg. 2(2B)(b) omitted by S.I. 2019/341 reg. 5(4)
- reg. 2(2B)(b) words inserted by S.I. 2020/1350 reg. 26(2)
- reg. 2(5) inserted by S.I. 2013/504 reg. 32(2)(c)
- reg. 2(5)(d) inserted by S.I. 2019/341 reg. 5(6)
- reg. 2(6) inserted by S.I. 2019/341 reg. 5(7)
- reg. 2(7) inserted by S.I. 2019/341 reg. 5(8)
- reg. 4(6) inserted by S.I. 2015/347 reg. 2(3)
- reg. 4(6) omitted by S.I. 2019/341 reg. 6(1)
- reg. 4(6) word substituted by S.I. 2016/1095 reg. 2(3)
- reg. 6(1) substituted by S.I. 2017/1064 Sch. para. 22(2)(a)
- reg. 6(1) words omitted by S.I. 2019/341 reg. 6(2)(a)
- reg. 6(1) words substituted by S.I. 2013/504 reg. 32(3)(a)
- reg. 6(2) words substituted by S.I. 2009/1972 reg. 3
- reg. 6(3)(4) 6(3)(4) subtituted for 6(3) by S.I. 2017/1064 Sch. para. 22(2)(b)
- reg. 6(3) inserted by S.I. 2013/504 reg. 32(3)(b)
- reg. 6(3) words omitted by S.I. 2019/341 reg. 6(2)(b)
- reg. 7(2)(c) omitted by S.I. 2013/472 Sch. 2 para. 27(c)(i)
- reg. 7(2)(d) substituted by S.I. 2013/472 Sch. 2 para. 27(c)(ii)
- reg. 7(2)(d) substituted by S.I. 2017/1064 Sch. para. 22(3)(c)
- reg. 7(2)(ba) inserted by S.I. 2017/1064 Sch. para. 22(3)(b)
- reg. 7(4) words inserted by S.I. 2010/2993 reg. 2(6)
- reg. 9(2) inserted by S.I. 2010/2993 reg. 2(8)(b)
- reg. 10(1A) inserted by S.I. 2019/341 reg. 6(4)(b)
- reg. 10(4A) inserted by S.I. 2013/504 reg. 32(4)(b)
- reg. 10(4B) inserted by S.I. 2019/341 reg. 6(4)(d)
- reg. 13(2)(c) inserted by S.I. 2010/2993 reg. 2(10)(c)
- reg. 13(4) inserted by S.I. 2010/2993 reg. 2(10)(d)
- reg. 13(4) words substituted by S.I. 2013/504 reg. 32(5)(a)
- reg. 13(4)(a)(b) omitted by S.I. 2013/504 reg. 32(5)(b)
- reg. 14(5)(a)(v) words inserted by S.I. 2010/2993 reg. 2(11)(f)
- reg. 14(5)(a)(iii)(iv)(v) substituted for reg. 14(5)(a)(ii) by S.I. 2009/1972 reg. 4(d)(iii)
- reg. 14(5)(a)(iv) substituted by S.I. 2010/2993 reg. 2(11)(e)
- reg. 14(6)(c) inserted by S.I. 2009/1972 reg. 4(e)(ii)
- reg. 15(4) inserted by S.I. 2009/1972 reg. 5(b)
- reg. 19(1A) inserted by S.I. 2006/50 reg. 2(10)(a)
- reg. 19(1A) words inserted by S.I. 2007/832 reg. 2(4)(a)
- reg. 19(1A) words substituted by S.I. 2007/832 reg. 2(4)(c)
- reg. 19(1A)(a)-(b) substituted by S.I. 2007/832 reg. 2(4)(b)
- reg. 19(1B) inserted by S.I. 2009/1972 reg. 7(b)
- reg. 19(1ZA) inserted by S.I. 2009/1972 reg. 7(a)
- reg. 19(2A) inserted by S.I. 2003/2096 Sch. para. 76(b)
- reg. 19(2A) words inserted by S.I. 2007/832 reg. 2(5)
- reg. 19(4) inserted by S.I. 2009/1972 reg. 7(c)
- reg. 19(4) omitted by 2020 c. 12 Sch. 3 para. 35
- reg. 20(1)(aa) inserted by S.I. 2019/341 reg. 8(1)(a)
- reg. 20(4)(5) inserted by S.I. 2013/504 reg. 32(6)(c)
- reg. 20(4)(a) words omitted by S.I. 2019/341 reg. 8(1)(c)
- reg. 20(5)(a) words omitted by S.I. 2019/341 reg. 8(1)(d)
- reg. 22(3) inserted by S.I. 2016/1095 reg. 2(4)(b)
- reg. 22(3) omitted by S.I. 2019/341 reg. 8(2)(b)
- reg. 26(2)(b)(i) word omitted by S.I. 2019/341 reg. 8(6)(c)(i)
- reg. 26(2)(b)(ii) omitted by S.I. 2019/341 reg. 8(6)(c)(ii)
- reg. 27 inserted by S.I. 2019/341 reg. 9
- reg. 27 words substituted in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2020/1301 reg. 3 Sch. para. 23(a)
- reg. 27(1) reg. 27 renumbered as reg. 27(1) in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2019/710 reg. 20(3)(a)
- reg. 27(2) inserted in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2019/710 reg. 20(3)(b)
- reg. 27(2) words substituted in earlier amending provision S.I. 2019/341, reg. 9 (as amended by S.I. 2019/710, reg. 20(3)(b)) by S.I. 2020/1301 reg. 3 Sch. para. 43(e)
Changes and effects yet to be applied to the whole Instrument associated Parts and Chapters:
Whole provisions yet to be inserted into this Instrument (including any effects on those provisions):
- Sch. para. 1(5) inserted by S.I. 2010/2993 reg. 2(17)(a)
- Sch. para. 5(1A)(1B) inserted by S.I. 2010/2993 reg. 2(17)(d)
- Sch. para. 4(ba) inserted by S.I. 2013/472 Sch. 2 para. 27(e)(ii)
- Sch. para. 5(4)(c) inserted by S.I. 2019/341 reg. 10(d)(iii)
- reg. 2(2)(za) inserted by S.I. 2017/80 Sch. para. 23
- reg. 2(2A)(2B) inserted by S.I. 2014/3348 Sch. 3 para. 7
- reg. 2(2A) words omitted by S.I. 2019/341 reg. 5(3)(a)
- reg. 2(2A)(a) words substituted by S.I. 2019/341 reg. 5(3)(b)
- reg. 2(2A)(b) word substituted by S.I. 2019/341, reg. 5(3)(c) (as inserted) by S.I. 2019/710 reg. 20(2)
- reg. 2(2B)(b) omitted by S.I. 2019/341 reg. 5(4)
- reg. 2(2B)(b) words inserted by S.I. 2020/1350 reg. 26(2)
- reg. 2(5) inserted by S.I. 2013/504 reg. 32(2)(c)
- reg. 2(5)(d) inserted by S.I. 2019/341 reg. 5(6)
- reg. 2(6) inserted by S.I. 2019/341 reg. 5(7)
- reg. 2(7) inserted by S.I. 2019/341 reg. 5(8)
- reg. 4(6) inserted by S.I. 2015/347 reg. 2(3)
- reg. 4(6) omitted by S.I. 2019/341 reg. 6(1)
- reg. 4(6) word substituted by S.I. 2016/1095 reg. 2(3)
- reg. 6(3)(4) 6(3)(4) subtituted for 6(3) by S.I. 2017/1064 Sch. para. 22(2)(b)
- reg. 6(3) inserted by S.I. 2013/504 reg. 32(3)(b)
- reg. 6(3) words omitted by S.I. 2019/341 reg. 6(2)(b)
- reg. 7(2)(c) omitted by S.I. 2013/472 Sch. 2 para. 27(c)(i)
- reg. 7(2)(d) substituted by S.I. 2013/472 Sch. 2 para. 27(c)(ii)
- reg. 7(2)(d) substituted by S.I. 2017/1064 Sch. para. 22(3)(c)
- reg. 7(2)(ba) inserted by S.I. 2017/1064 Sch. para. 22(3)(b)
- reg. 7(4) words inserted by S.I. 2010/2993 reg. 2(6)
- reg. 9(2) inserted by S.I. 2010/2993 reg. 2(8)(b)
- reg. 10(1A) inserted by S.I. 2019/341 reg. 6(4)(b)
- reg. 10(4A) inserted by S.I. 2013/504 reg. 32(4)(b)
- reg. 10(4B) inserted by S.I. 2019/341 reg. 6(4)(d)
- reg. 13(2)(c) inserted by S.I. 2010/2993 reg. 2(10)(c)
- reg. 13(4) inserted by S.I. 2010/2993 reg. 2(10)(d)
- reg. 13(4) words substituted by S.I. 2013/504 reg. 32(5)(a)
- reg. 13(4)(a)(b) omitted by S.I. 2013/504 reg. 32(5)(b)
- reg. 14(5)(a)(v) words inserted by S.I. 2010/2993 reg. 2(11)(f)
- reg. 14(5)(a)(iii)(iv)(v) substituted for reg. 14(5)(a)(ii) by S.I. 2009/1972 reg. 4(d)(iii)
- reg. 14(5)(a)(iv) substituted by S.I. 2010/2993 reg. 2(11)(e)
- reg. 14(6)(c) inserted by S.I. 2009/1972 reg. 4(e)(ii)
- reg. 15(4) inserted by S.I. 2009/1972 reg. 5(b)
- reg. 19(1A) inserted by S.I. 2006/50 reg. 2(10)(a)
- reg. 19(1A) words inserted by S.I. 2007/832 reg. 2(4)(a)
- reg. 19(1A) words substituted by S.I. 2007/832 reg. 2(4)(c)
- reg. 19(1A)(a)-(b) substituted by S.I. 2007/832 reg. 2(4)(b)
- reg. 19(1B) inserted by S.I. 2009/1972 reg. 7(b)
- reg. 19(1ZA) inserted by S.I. 2009/1972 reg. 7(a)
- reg. 19(2A) inserted by S.I. 2003/2096 Sch. para. 76(b)
- reg. 19(2A) words inserted by S.I. 2007/832 reg. 2(5)
- reg. 19(4) inserted by S.I. 2009/1972 reg. 7(c)
- reg. 19(4) omitted by 2020 c. 12 Sch. 3 para. 35
- reg. 20(1)(aa) inserted by S.I. 2019/341 reg. 8(1)(a)
- reg. 20(4)(5) inserted by S.I. 2013/504 reg. 32(6)(c)
- reg. 20(4)(a) words omitted by S.I. 2019/341 reg. 8(1)(c)
- reg. 20(5)(a) words omitted by S.I. 2019/341 reg. 8(1)(d)
- reg. 22(3) inserted by S.I. 2016/1095 reg. 2(4)(b)
- reg. 22(3) omitted by S.I. 2019/341 reg. 8(2)(b)
- reg. 26(2)(b)(i) word omitted by S.I. 2019/341 reg. 8(6)(c)(i)
- reg. 26(2)(b)(ii) omitted by S.I. 2019/341 reg. 8(6)(c)(ii)
- reg. 27 inserted by S.I. 2019/341 reg. 9
- reg. 27 words substituted in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2020/1301 reg. 3 Sch. para. 23(a)
- reg. 27(1) reg. 27 renumbered as reg. 27(1) in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2019/710 reg. 20(3)(a)
- reg. 27(2) inserted in earlier amending provision S.I. 2019/341, reg. 9 by S.I. 2019/710 reg. 20(3)(b)
- reg. 27(2) words substituted in earlier amending provision S.I. 2019/341, reg. 9 (as amended by S.I. 2019/710, reg. 20(3)(b)) by S.I. 2020/1301 reg. 3 Sch. para. 43(e)
Certain bodies deemed to satisfy requirements for designation
6.—(1) Subject to paragraph (2), an investment exchange or clearing house declared by an order for the time being in force to be a recognised investment exchange or recognised clearing house for the purposes of [F1the 2000 Act], whether that order was made before or is made after the coming into force of these Regulations, shall be deemed to satisfy the requirements in paragraphs 2 and 3 of the Schedule.
(2) Paragraph (1) does not apply to overseas investment exchanges or overseas clearing houses within the meaning of the 1986 Act.
Textual Amendments
F1Words in reg. 6(1) substituted (3.7.2002) by The Financial Services and Markets Act 2000 (Consequential Amendments) Order 2002 (S.I. 2002/1555), arts. 1, 39(3)
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