Textual Amendments
F1Words in Sch. 1 heading substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(18); 2020 c. 1, Sch. 5 para. 1(1)
Modifications etc. (not altering text)
C1Sch. 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))
C2Sch. 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)
C3Sch. 1 applied (10.6.2019) by The Proxy Advisors (Shareholders' Rights) Regulations 2019 (S.I. 2019/926), regs. 1, 29(1)(d)
| 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 M1 | 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 M2 | His functions as such |
| [F2The Department for the Economy in Northern Ireland] | (a)Its functions under Part XV of the Companies (Northern Ireland) Order 1986 M3 (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 M4 (disqualification of company directors) |
| F3. . . | F3. . . |
| F4. . . | F4. . . |
| A recognised clearing house (other than an overseas clearing house [F5, F6... 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 [F7the 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 M5 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 |
| [F8A clearing house or other similar body which has its head office in [F9a third country], and which is recognised under the law of [F10that country] as a provider of clearing or settlement services | Its functions in relation to defaults or potential defaults by market participants] |
| [F11[F12A third country central counterparty (within the meaning of section 285(1)(d) of the Act)] | Its functions in relation to defaults or potential defaults by market participants] |
| [F13A recognised CSD F14... or third country CSD (within the meaning of section 285(1)(e) F15... and (g) of the Act) | Its functions in relation to defaults or potential defaults by market participants] |
Textual Amendments
F2Words in Sch. 1 Pt. 4 substituted (27.3.2019) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(2), 13(7)(d)
F3Sch. 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)
F4Sch. 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)
F5Words 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)
F6Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(a); 2020 c. 1, Sch. 5 para. 1(1)
F7Words 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)
F8Words in Sch. 1 Pt. 4 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)
F9Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)
F10Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)
F11Words 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)
F12Words in Sch. 1 Pt. 4 Table substituted (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(c); 2020 c. 1, Sch. 5 para. 1(1)
F13Words in Sch. 1 Pt. 4 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 25(3) (with regs. 7(4), 9(1))
F14Words in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)
F15Word in Sch. 1 Pt. 4 Table omitted (31.12.2020) by virtue of The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 4(22)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)
Marginal Citations
M1Section 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.
M2Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.
M5S.I. 1995/3272, amended by S.I. 1996/2827, 1997/251, 1999/506, 2000/311 and 2000/1682.