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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 II
- Regulation 3
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Changes and effects yet to be applied to Regulation 3:
- 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
- reg. 3(3) words substituted by S.I. 2019/681 reg. 4(3)
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 the [F1regulators], the Secretary of State and the Treasury etc.U.K.
3.—(1) A disclosure of confidential information is permitted when it is made to any person—
[F2(a)by one of the regulators or a regulator worker for the purposes of enabling or assisting the person making the disclosure to discharge any public functions of that regulator or (if different) the regulator worker;]
(b)by the Secretary of State or a Secretary of State worker for the purpose of enabling or assisting the person making the disclosure to discharge any public functions of the Secretary of State or (if different) of the Secretary of State worker;
(c)by the Treasury for the purpose of enabling or assisting the Treasury to discharge any of their public functions;
[F3(d)by one of the regulators or a regulator worker to one of the other regulators or a regulator worker employed or instructed by one of the other regulators for the purpose of enabling or assisting the recipient to discharge any public functions of the regulator or (if different) the regulator worker.]
(2) A disclosure of confidential information is permitted when it is made by any primary recipient, or person obtaining the information directly or indirectly from a primary recipient, to [F4one of the regulators], the Secretary of State or the Treasury for the purpose of enabling or assisting [F5that regulator], the Secretary of State or the Treasury (as the case may be) to discharge any of its, his or their public functions.
(3) Paragraphs (1) and (2) do not permit disclosure in contravention of any of the [F6single market restrictions].
Textual Amendments
F1Word in reg. 3 heading substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(a)
F2Reg. 3(1)(a) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(b)(i)
F3Reg. 3(1)(d) inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(b)(ii)
F4Words in reg. 3(2) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(c)(i)
F5Words in reg. 3(2) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 47(3)(c)(ii)
F6Words in reg. 3(3) substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(3)
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