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, clearing and settlement systems and central securities depositories within the meaning of the CSD regulation

F3The Bank of England

Its functions under Parts 1, 2 and 3 of the Banking Act 2009 and under the Investment Bank Special Administration Regulations 2011

F4The FCA

The functions conferred on it by or under the Act

F5The 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

F6. . .

F6. . .

F7F8The Competition and Markets Authority

(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 F9; or

(iii) financial organisations within the meaning of F10article 56(a) of the capital requirements 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; F11or

(iii) banking group companies (as defined in section 81D of the Banking Act 2009)

F12A person appointed in judicial or administrative proceedings in an EEA State or a State which is not an EEA State, pursuant to a law relating to insolvency, to administer the reorganisation or the liquidation of a debtor's assets or affairs

That person's functions as such

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/ECM3, or an investor-compensation scheme recognised in accordance with Directive 97/9/ECM4

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 F13or 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 F14or banking group company (as defined in section 81D of the Banking Act 2009) appointed under or as a result of an enactment (other than the Act)

His functions as such

F15A person appointed to carry out a statutory audit of a company within the meaning of Article 2.1 of Directive 2006/43/EC of the European Parliament and of the Council of 17th May 2006 on statutory audits and consolidated accounts

That person's 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 F16Part 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 F17section 1220 of the Companies Act 2006

Its functions as such

The Institute of Actuaries or the Faculty of Actuaries

F18Their 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

F19The Pensions Regulator

F20Its 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

F21The investigator appointed under section 84 of the Financial Services Act 2012

His functions as such

F22A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under F23section 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

F24An 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

F25A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002

Those functions

F26A person authorised by the Secretary of State for the purposes of F27section 456 of the Companies Act 2006

His functions as such

F28Any 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

F28Any 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

F28The 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

F29ACER

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

F29ESAs

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)

F29ESRB

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

F30The Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013

All of its functions

F31The Comptroller and Auditor General

(a) That person’s function under section 6 of the National Audit Act 1983 of carrying out examinations into the economy, efficiency and effectiveness with which the FCA has used its resources in discharging its functions

(b) That person’s function of carrying out examinations under section 7D of the Bank of England Act 1998

F31The National Audit Office

Functions for which it is responsible by virtue of section 22 of, and Schedule 3 to, the Budget Responsibility and National Audit Act 2011 in relation to—

(i) examinations under section 6 of the National Audit Act 1983 in respect of the FCA; or

(ii) examinations under section 7D of the Bank of England Act 1998

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

F32An EEA resolution authority

Its functions under the recovery and resolution directive

F33An authority responsible for maintaining the stability of the financial system in an EEA State through macro-prudential regulation

Its functions as such

A dependent territory regulatory authority

Its functions as such

A non-EEA regulatory authority

Its functions as such

F34A foreign resolution authority

Its functions as such

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)

F35. . .

F35. . .

F36. . .

F36. . .

A recognised clearing house (other than an overseas clearing house F37, 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 F38the 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

F39A 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

F40An 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

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