The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

Regulations 9, 10 and 12

SCHEDULE 1 U.K. DISCLOSURE OF CONFIDENTIAL INFORMATION WHETHER OR NOT SUBJECT TO [F1 SINGLE MARKET RESTRICTIONS]

Textual Amendments

F1 Words in Sch. 1 heading substituted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(12)

Modifications etc. (not altering text)

C1 Sch. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(h) (as amended (9.12.2015) by The Payment Card Interchange Fee Regulations 2015 (S.I. 2015/1911), regs. 1, 17(3) and (26.6.2017) by The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (S.I. 2017/692), reg. 1(2), Sch. 7 para. 24(10) (with regs. 8, 15))

C2 Sch. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(h)

PART 1 U.K.

Modifications etc. (not altering text)

C3 Sch. 1 Pt. 1 modified (19.7.2001 for specified purposes, 1.12.2001 in so far as not already in force) by The Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (S.I. 2001/2326), arts. 1(1), 18(2)(d)

C4 Sch. 1 Pt. 1 applied (with modifications) (2.3.2009) by The Payment Services Regulations 2009 (S.I. 2009/209), reg. 1(2)(a), Sch. 5 para. 10(g)

C5 Sch. 1 Pt. 1 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 1, Sch. Pt. 3 para. 10(g)

Person	Functions
The Bank of England, the European Central Bank or the central bank of any country or territory outside the United Kingdom	(a)Its functions as a monetary authority (b)Its functions in relation to overseeing payment systems [F2 and clearing and settlement systems]
[F3 The FCA	The functions conferred on it by or under the Act]
[F4 The PRA	The functions conferred on it by or under the Act]
A body (other than a central bank) in a country or territory outside the United Kingdom having (a) functions as a monetary authority or (b) responsibility for overseeing payments systems	Its functions as such
A recognised investment exchange (other than an overseas investment exchange)	Its functions as such
The body known as the Panel on Takeovers and Mergers	All of its functions
The Society of Lloyd’s	Its regulatory functions
The Director General of Fair Trading	(a)His functions under the Act (b)His functions under any other enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities [F5 ; or (iii) financial organisations within the meaning of [F6 article 47(a)] of the banking consolidation directive]
The Competition Commission	(a)Its functions under the Act (b)Its functions under any other enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities [F7 ; or (iii) financial organisations within the meaning of [F8 article 47(a)] of the banking consolidation directive]
An official receiver appointed under section 399 of the Insolvency Act 1986 M1 , or an official receiver for Northern Ireland appointed under article 355 of the Insolvency (Northern Ireland) Order 1989 M2	His functions under enactments relating to insolvency, in so far as they relate to: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The scheme manager	Its functions under Part XV of the Act
A body responsible, in an EEA State other than the United Kingdom, for administering a deposit-guarantee scheme recognised in accordance with directive 94/19/EC M3 , or an investor-compensation scheme recognised in accordance with Directive 97/9/EC M4	Its functions as such
A designated professional body within the meaning of Part XX of the Act	Its functions as such
A body which was, immediately before the coming into force of section 19 of the Act, a recognised professional body within the meaning of the Financial Services Act 1986 M5	Its functions as such under that Act or under the Act
A person appointed to make a report under section 166 [F9 or 166A] of the Act	His functions as such
A person appointed to conduct an investigation under section 167 or section 168(3) or (5) of the Act	His functions as such
An auditor exercising functions conferred by or under the Act	Those functions
An auditor of an authorised person appointed under or as a result of an enactment (other than the Act)	His functions as such
An actuary exercising functions conferred by or under the Act	Those functions
A person appointed as an inspector under section 49 of the Industrial and Provident Societies Act 1965 M6	His functions as such
A person appointed as an inspector under section 18 of the Credit Unions Act 1979 M7	His functions as such
A person appointed to make a report under section 52(5)(d) of the Building Societies Act 1986 M8	His functions as such
A person appointed as an investigator under section 55 of the Building Societies Act 1986 or as an inspector under section 56 of that Act M9	His functions as such
A person appointed to make a report under section 62(3)(d) of the Friendly Societies Act 1992 M10	His functions as such
A person appointed as an investigator under section 65 of the Friendly Societies Act 1992 M11 or as an inspector under 66 of that Act	His functions as such
A recognised supervisory body within the meaning of [F10 Part 42, Chapter 2 of the Companies Act 2006]	(a)Its functions as such a body under that Part (b)Its functions in relation to disciplinary proceedings against auditors
A qualifying body as defined by [F11 section 1220 of the Companies Act 2006]	Its functions as such
The Institute of Actuaries or the Faculty of Actuaries	[F12 Their supervisory functions in relation to the exercise by an actuary of his professional duties, including the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings]
A recognised professional body within the meaning of section 391 of the Insolvency Act 1986 or article 350 of the Insolvency (Northern Ireland) Order 1989	(a)Its functions as such a body under that Act or that Order (b)Its functions in relation to disciplinary proceedings against insolvency practitioners
The Department of Enterprise, Trade and Investment in Northern Ireland	(a)Its functions under Part V of the Companies (No. 2) (Northern Ireland) Order 1990 (financial markets and insolvency) M12 (b)Its functions under Part XII of the Insolvency (Northern Ireland) Order 1989 (c)Its functions under any other enactment in so far as they relate to the supervison of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
[F13 The Pensions Regulator]	[F14 Its functions as such] in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
The Charity Commissioners for England and Wales	Their functions under any enactment in so far as they relate to the supervision of: (i)former authorised persons or persons who have carried on former regulated activities; or (ii)persons carrying on, or who have carried on, regulated activities
[F15 The investigator appointed under section 84 of the Financial Services Act 2012]	His functions as such
[F16 A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under [F17 section 68 of the Financial Services Act 2012]), or an officer or member of staff of such an inquiry	His functions in carrying out the inquiry and reporting to the Treasury]
[F18 An investment exchange which has its head office in an EEA State other than the United Kingdom, and which is recognised as an investment exchange under the law of that state	Its functions as a supervisor of financial markets]
[F19 A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002	Those functions]
[F20 A person authorised by the Secretary of State for the purposes of [F21 section 456 of the Companies Act 2006]	His functions as such]
[F22 Any 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	Its functions as such]
[F22 Any body carrying on activities concerned with any of the matters set out in section 14 of the Companies (Audit, Investigations and Community Enterprise) Act 2004	Its functions as such]
[F22 The Financial Reporting Council and its operating bodies	Their supervisory functions in relation to the exercise by an actuary of his professional duties, the conduct of disciplinary proceedings and determining whether to institute or terminate such proceedings]
[F23 ACER	Its functions under Regulation (EU) No. 1227/2011 of the European Parliament and of the Council of 25 October 2011 on wholesale energy market integrity and transparency]
[F23 ESAs	Their functions under Regulation (EU) No. 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), Regulation (EU) No. 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority) and Regulation (EU) No. 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority)]
[F23 ESRB	Its functions under Regulation (EU) No. 1092/2010 of the European Parliament and the Council of 24 November 2010 on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board]

Textual Amendments

F2 Words in Sch. 1 Pt. 1 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(9)(a)(i)

F3 Words in Sch. 1 Pt. 1 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(9)(a)(ii)

F4 Words in Sch. 1 Pt. 1 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(9)(a)(iii)

F5 Words in Sch. 1 Pt. 1 Table inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(a)

F6 Words in Sch. 1 substituted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (revoked) 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(4)(a)

F7 Words in Sch. 1 Pt. 1 Table inserted (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(1)(b)

F8 Words in Sch. 1 substituted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (revoked) 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(4)(b)

F9 Words in Sch. 1 Pt. 1 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(9)(a)(iv)

F10 Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(a)

F11 Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(b)

F12 Words in Sch. 1 Pt. 1 table substituted (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(a)

F13 Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(a)

F14 Words in Sch. 1 Pt. 1 substituted (25.11.2005) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2005 (S.I. 2005/3071), regs. 1, 2(2)(b)

F15 Words in Sch. 1 Pt. 1 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(9)(a)(v)

F16 Words in Sch. 1 Pt. 1 table inserted (8.11.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2001 (S.I. 2001/3437), regs. 1, 2

F17 Words in Sch. 1 Pt. 1 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(9)(a)(vi)

F18 Words in Sch. 1 Pt. 1 table inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(6)

F19 Words in Sch. 1 Pt. 1 table added (23.8.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2003 (S.I. 2003/2174), regs. 1, 4(b)

F20 Words in Sch. 1 Pt. 1 table added (26.11.2003) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 3) Regulations 2003 (S.I. 2003/2817), regs. 1, 2(b)

F21 Words in Sch. 1 Pt. 1 substituted (12.5.2011) by The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(2)(c)

F22 Words in Sch. 1 Pt. 1 Table added (20.1.2007) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) Regulations 2006 (S.I. 2006/3413), regs. 1(2)(a), 8(2)

F23 Words in Sch. 1 Pt. 1 table inserted (16.4.2012) by The Financial Services (Omnibus 1 Directive) Regulations 2012 (S.I. 2012/916), regs. 1, 3(13)

Marginal Citations

M1 1986 c. 45.

M2 S.I. 1989/2405 (N.I. 19).

M3 OJ No. L135, 31.5.1994, p. 5.

M4 OJ No. L084, 26.3.1997, p. 22.

M5 1986 c. 60.

M6 1965 c. 12.

M7 1979 c. 34.

M8 1986 c. 53. Section 52 was amended by the Building Societies Act 1997 (c. 32), Sch. 7, para. 17.

M9 Sections 55 and 56 were amended by the Building Societies Act 1997, Sch. 7, paras 21 and 22 (respectively).

M10 Section 62 was amended by S.I. 1994/1984, reg. 17.

M11 Section 65 was amended by S.I. 1994/1984, reg. 19.

M12 S.I. 1990/1504 (N.I. 10).

PART 2 U.K.

Person	Functions
An EEA regulatory authority	(a)Its functions as an EEA competent authority (b)Its functions corresponding to any of the functions specified in the second column of Part 1 of this Schedule

PART 3 U.K.

Person	Functions
A dependent territory regulatory authority	Its functions as such
A non-EEA regulatory authority	Its functions as such

PART 4 U.K.

Person	Functions
An inspector appointed under Part XIV of the Companies Act 1985	His functions as such
A person authorised to exercise powers under section 447 of the Companies Act 1985 M13	His functions as such
A person authorised under section 84 of the Companies Act 1989 to exercise on behalf of the Secretary of State powers conferred by section 83 of that Act M14	His functions as such
The Department of Enterprise, Trade and Investment in Northern Ireland	(a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 M15 (investigation of companies and their affairs; requisition of documents) (b)Its functions under Part III of the Companies (Northern Ireland) Order 1990 (eligibility for appointment as company auditor) (c)Its functions under the Companies (Northern Ireland) Order 1989 M16 (disqualification of company directors)
F24 . . .	F24 . . .
F25 . . .	F25 . . .
A recognised clearing house (other than an overseas clearing house [F26 , an EEA central counterparty (within the meaning of section 285(1)(c) of the Act) or a third country central counterparty (within the meaning of section 285(1)(d) of the Act)])	Its functions as a clearing house in so far as they are exercisable in relation to defaults or potential defaults by market participants
A person included on the list maintained by [F27 the Bank of England] for the purposes of section 301 of the Act	His functions under settlement arrangements to which regulations made under that section relate
A person approved under the Uncertificated Securities Regulations 1995 M17 as an operator of a relevant system (within the meaning of those Regulations)	His functions as such in so far as they are exercisable in relation to defaults or potential defaults by market participants
[F28 A clearing house or other similar body which has its head office in an EEA State other than the United Kingdom, and which is recognised under the law of that state as a provider of clearing or settlement services	Its functions in relation to defaults or potential defaults by market participants]
[F29 An EEA central counterparty (within the meaning of section 285(1)(c) of the Act)	Its functions in relation to defaults or potential defaults by market participants]

Textual Amendments

F24 Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(a)

F25 Sch. 1 Pt. 4 entry omitted (12.5.2011) by virtue of The Companies Act 2006 (Consequential Amendments and Transitional Provisions) Order 2011 (S.I. 2011/1265), arts. 1(2), 16(3)(b)

F26 Words in Sch. 1 Pt. 4 inserted (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), 35(6)(a) (with regs. 52-58)

F27 Words in Sch. 1 Pt. 4 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(9)(b)

F28 Words in Sch. 1 Pt. 4 table inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) (Amendment) (No. 2) Regulations 2001 (S.I. 2001/3624), regs. 1, 2(7)

F29 Words in Sch. 1 Pt. 4 inserted (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), 35(6)(b) (with regs. 52-58)

Marginal Citations

M13 Section 447 was amended by the Companies Act 1989, s. 63 and Sch. 24, and by the Youth Justice and Criminal Evidence Act 1999 (c. 23), Sch. 3, paras. 4 and 6.

M14 Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.

M15 S.I. 1986/1032 (N.I. 6).

M16 S.I. 1989/2404 (N.I. 18).

M17 S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.

[F30 PART 5 U.K.

Textual Amendments

F30 Sch. 1 Pt. 5 inserted (31.12.2010) by The Capital Requirements (Amendment) Regulations 2010 (S.I. 2010/2628), reg. 1, Sch. 2 para. 3(4)(c)

Person	Functions
A central government department in another EEA state, responsible for legislation on the supervision of credit institutions, financial institutions, investment services and insurance companies	Its functions as such]