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The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
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- UK Statutory Instruments
- 2001 No. 2188
- PART IV
- Regulation 12
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Changes and effects yet to be applied to Regulation 12:
- Regulations amendment to earlier affecting provision S.I. 2012/3122, Sch. para. 9 by S.I. 2019/681 reg. 7
- Regulations amendment to earlier affecting provision SI 2011/99, Sch. 3 para. 11 by S.I. 2019/681 reg. 14(2)
- Regulations amendment to earlier affecting provision SI 2017/752, Sch. 6 para. 13 by S.I. 2019/681 reg. 9(3)(b)
- Regulations applied by S.I. 2024/107 reg. 29
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):
- Pt. 5 Ch. 1 heading Pt. 5 heading substituted and renumbered as Pt. 5 Ch. 1 by S.I. 2019/681 reg. 4(14)
- Pt. 5 Ch. 2 inserted by S.I. 2019/681 reg. 4(17)
- Pt. 5 Ch. 1 heading words substituted in earlier amending provision S.I. 2019/681, reg. 4(14) by S.I. 2020/1301 reg. 3 Sch. para. 41(c)
- Pt. 5 Ch. 2 words substituted in earlier amending provision S.I. 2019/681, reg. 4(17) by S.I. 2020/1301 reg. 3 Sch. para. 41(e)
- Sch. 1 Pt. 6 inserted by S.I. 2020/1406 reg. 6(5)(b)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(i)
- reg. 8(d) word omitted by S.I. 2019/681 reg. 4(7)(d)(ii)
- reg. 8(f) omitted by S.I. 2019/681 reg. 4(7)(e)
- reg. 9(1A) words omitted by S.I. 2019/681 reg. 4(8)(b)
- art. 9(2B)(a) substituted by 2018 c. 12 Sch. 19 para. 278(2)
- reg. 9(2B)(a) word inserted by S.I. 2019/681 reg. 4(8)(d)(i)
- reg. 9(2B)(a) words substituted by S.I. 2019/419 Sch. 3 para. 37(2)
- reg. 9(2B)(b) words substituted by S.I. 2019/681 reg. 4(8)(d)(ii)
- reg. 9(2B)(b)(iii) words substituted in earlier amending provision S.I. 2019/681, reg. 4(8)(d)(ii) by S.I. 2020/1301 reg. 3 Sch. para. 41(b)
- reg. 9(2B)(c) omitted by S.I. 2019/681 reg. 4(8)(d)(iii)
- reg. 9(2C) substituted by S.I. 2019/681 reg. 4(8)(e)
- reg. 9(2C)(c) words substituted by S.I. 2023/1313 reg. 15(3)(a)
- reg. 9(2C)(d)(i) words inserted by S.I. 2023/1313 reg. 15(3)(b)(i)
- reg. 9(2C)(d)(i) words substituted by S.I. 2023/1313 reg. 15(3)(b)(ii)
- reg. 9(2ZA) words inserted by S.I. 2019/681 reg. 4(8)(c)(ii)
- reg. 9(2ZA)(e) word omitted by S.I. 2019/681 reg. 4(8)(c)(i)
- reg. 9(3)(b)(vi) substituted for reg. 9(3)(b)(iii)(iv)(v) by S.I. 2019/681 reg. 13(4)(b)
- reg. 9(3F) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(3EA) omitted by S.I. 2019/681 reg. 4(8)(k)
- reg. 9(4A) inserted by S.I. 2020/1406 reg. 6(3)
- reg. 9(5) word omitted by S.I. 2019/681 reg. 4(8)(m)
- art. 9(6) inserted by 2018 c. 12 Sch. 19 para. 278(3)
- reg. 9(6) substituted by S.I. 2019/419 Sch. 3 para. 37(3)
- reg. 10A heading word omitted by S.I. 2019/681 reg. 4(9)
- reg. 10A(1) word omitted by S.I. 2019/681 reg. 4(10)(a)
- reg. 10A(1)(a) word omitted by S.I. 2023/1313 reg. 15(4)(a)
- reg. 10A(1)(b) word inserted by S.I. 2023/1313 reg. 15(4)(b)
- reg. 10A(1)(c) inserted by S.I. 2023/1313 reg. 15(4)(c)
- reg. 10A(3) word omitted by S.I. 2019/681 reg. 4(10)(b)
- reg. 10B(1) word omitted by S.I. 2019/681 reg. 4(11)(a)
- reg. 10B(2) words inserted by S.I. 2023/1313 reg. 15(5)(a)
- reg. 10B(2) words substituted by S.I. 2019/681 reg. 4(11)(b)
- reg. 10B(2) words substituted by S.I. 2023/1313 reg. 15(5)(b)
- reg. 10C inserted by S.I. 2020/1406 reg. 6(4)
- reg. 10D inserted by S.I. 2024/1083 reg. 12(3)
- reg. 11(g) word omitted by S.I. 2019/681 reg. 4(13)(e)
- reg. 11(fa) omitted by S.I. 2019/681 reg. 4(13)(d)
- reg. 12D inserted by S.I. 2024/1083 reg. 12(4)
Disclosure by and to a Schedule 1 or 2 person or disciplinary proceedings authorityU.K.
12.—(1) A primary recipient of information to which this Part applies, or a person obtaining such information directly or indirectly from a primary recipient, is permitted to disclose such information to—
(a)a person specified in the first column in Schedule 1 or 2 for the purpose of enabling or assisting that person to discharge any function listed beside him in the second column in Schedule 1 or 2; or
(b)a disciplinary proceedings authority for the purposes of any prescribed disciplinary proceedings which have been or may be initiated, or for the purpose of initiating or bringing to an end any such proceedings, or of facilitating a determination of whether they should be initiated or brought to an end.
(2) A person specified in the first column in Schedule 1 or 2 is permitted to disclose information to which this Part applies to any person for the purpose of enabling or assisting the person making the disclosure to discharge any function listed beside him in the second column in Schedule 1 or 2.
(3) A disciplinary proceedings authority is permitted to disclose information to which this Part applies to any person for any of the purposes mentioned in paragraph (1)(b).
[F1(4) This regulation does not permit disclosure of short selling regulation information to a person specified in the first column in Part 3 of Schedule 1 unless the disclosure is in accordance with article 40 of the short selling regulation or a cooperation arrangement of the kind referred to in article 38 of the short selling regulation.]
[F2(5) This regulation does not permit the disclosure of information if—
(a)the information is confidential information received by the FCA in the course of discharging its functions as a competent authority under the market abuse regulation or any directly applicable EU regulation made under the market abuse regulation; and
(b)the disclosure of the information contravenes the market abuse regulation.]
[F3(6) This regulation does not permit disclosure of the EU Benchmarks Regulation 2016 information which has been received from another competent authority unless the disclosure is in accordance with Article 38 of the EU Benchmarks Regulation 2016.]
Textual Amendments
F1Reg. 12(4) inserted (1.11.2012) by The Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (S.I. 2012/2554), regs. 1(1), 3(3)
F2Reg. 12(5) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 4(6) (with reg. 7)
F3Reg. 12(6) inserted (27.2.2018) by The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018 (S.I. 2018/135), regs. 1(2), 56(3)
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