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

Changes over time for: PART 1

Version Superseded: 01/04/2013

Status:

Point in time view as at 16/04/2012.

Changes to legislation:

There are outstanding changes not yet made by the legislation.gov.uk editorial team to The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001. Any changes that have already been made by the team appear in the content and are referenced with annotations.

Changes to Legislation

Changes and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. They are therefore not accessible when viewing legislation as at a specific point in time. To view the ‘Changes to Legislation’ information for this provision return to the latest version view using the options provided in the ‘What Version’ box above.

PART 1U.K.

Modifications etc. (not altering text)

C3Sch. 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)

C4Sch. 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)

C5Sch. 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
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 [F1; or (iii) financial organisations within the meaning of [F2article 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 [F3; or (iii) financial organisations within the meaning of [F4article 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 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 [F5Part 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 [F6section 1220 of the Companies Act 2006]	Its functions as such
The Institute of Actuaries or the Faculty of Actuaries	[F7Their 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
[F8The Pensions Regulator]	[F9Its 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
The investigator appointed by the Authority in accordance with paragraph 7 of Schedule 1 to the Act	His functions as such
[F10A person appointed by the Treasury to hold an inquiry into matters relating to financial services (including an inquiry under section 15 of the Act), or an officer or member of staff of such an inquiry	His functions in carrying out the inquiry and reporting to the Treasury]
[F11An 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]
[F12A person upon whom functions are conferred by or under Part 2, 3 or 4 of the Proceeds of Crime Act 2002	Those functions]
[F13A person authorised by the Secretary of State for the purposes of [F14section 456 of the Companies Act 2006]	His functions as such]
[F15Any 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]
[F15Any 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]
[F15The 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]
[F16ACER	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]
[F16ESAs	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)]
[F16ESRB	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]