http://www.legislation.gov.uk/uksi/2001/3755/contents/2003-12-29The Uncertificated Securities Regulations 2001LegislationLocal governmentCOMPANIESStatute Law Database2024-10-10Expert Participation2003-12-29The Uncertificated Securities Regulations 2001The Uncertificated Securities Regulations 2001PART 1CITATION, COMMENCEMENT, AND INTERPRETATION1Citation and commencement2Purposes and basic definition3InterpretationPART 2THE OPERATORAPPROVAL AND COMPLIANCE4Applications for approval5Grant and refusal of approval6Fees charged by the TreasurySUPERVISION7Withdrawal of approval8Compliance orders and directions9Injunctions and restitution orders10Provision of information by Operators11Delegation of Treasury functions12International obligations13Prevention of restrictive practicesPART 3PARTICIPATING SECURITIESPARTICIPATION BY ISSUERS14Participation in respect of shares15This regulation applies to a class of shares if a...16(1) This regulation applies to a class of shares if...17(1) A class of shares in relation to which, immediately...18Interpretation of regulations 15, 16 and 1719Participation in respect of securities other than sharesKEEPING OF REGISTERS AND RECORDS20Entries on registers and records in respect of shares21Entries on registers and records in respect of general public sector securities22Entries on registers and records in respect of other securities23General provisions concerning keeping registers and records24Effect of entries on registers25Rectification of registers of securities26Closing registers27Registration by an Operator of transfers of securities28Registration by a participating issuer of transfers of securities upon conversion into certificated form29Registration to be in accordance with regulations 27 and 2830Registration of linked transfers31Position of a transferee prior to entry on an issuer register of securitiesCONVERSIONS AND NEW ISSUES32Conversion of securities into certificated form33Conversion of securities into uncertificated form34New issues in uncertificated formPART 4DEMATERIALISED INSTRUCTIONS ETC.35Properly authenticated dematerialised instructions, etc.36Liability for forged dematerialised instructions, induced amendments to Operator registers of securities, and induced Operator-instructionsPART 5MISCELLANEOUS AND SUPPLEMENTALMISCELLANEOUS37Construction of references to transfers etc.38Certain formalities and requirements not to apply39Fees charged by Operators40Trusts, trustees and personal representatives etc.41Notices of meetings etc.42Notices to minority shareholders43Irrevocable powers of attorney44Actual notice45Participating securities issued in uncertificated formDEFAULTS AND CONTRAVENTIONS46Breaches of statutory duty47Liability of officers for contraventions48Exemption from liabilityNORTHERN IRELAND49Application to Northern IrelandTRANSITORY PROVISIONS, AMENDMENTS AND REVOCATIONS50Transitory provisions51Minor and consequential amendments52RevocationsSCHEDULE 1REQUIREMENTS FOR APPROVAL OF A PERSON AS OPERATORArrangements and resources1An Operator must have adequate arrangements and resources for the...Financial resources2An Operator must have financial resources sufficient for the proper...Promotion and maintenance of standards3An Operator must be able and willing to promote and...Operation of the relevant system4(1) Except in the circumstances referred to in subparagraph (2),...System security5(1) A relevant system must be so constructed and operate...System capabilities6A relevant system must ensure that the Operator-system can send...7Before an Operator registers a transfer of title to uncertificated...8Before an Operator-instruction to a participating issuer to register a...9A relevant system must enable an Operator to comply with...10A relevant system must maintain adequate records of all dematerialised...11A relevant system must— (a) enable each system-member to obtain...12A relevant system must be able to permit each participating...13A relevant system must be able to establish, where there...14A relevant system must ensure that the Operator-system is able...15A relevant system must— (a) enable a system-member— 16For the purposes of paragraph 15(a)(ii), once authority is granted...17Nothing in paragraph 15 or 16 shall be taken, in...18A relevant system must enable system-members— (a) to change the...19Paragraph 18 shall not apply to any wholly dematerialised security....Operating procedures20A relevant system must comprise procedures which provide that it...21(1) Subject to subparagraphs (2) to (5), a relevant system...22(1) Subject to subparagraph (2), a relevant system must comprise...23A relevant system must comprise procedures which ensure that, where...24A relevant system must comprise procedures which— Rules and practices25An Operator’s rules and practices— (a) must bind system-members and...26An Operator’s rules and practices must require— 27An Operator must have rules which require system-users and former...SCHEDULE 2PREVENTION OF RESTRICTIVE PRACTICESExamination of rules and practices1(1) The Treasury shall not approve a person as Operator...Modification of paragraph 1 where delegation order is made2(1) This paragraph applies instead of paragraph 1 where the...Reports by the Office of Fair Trading3(1) The Treasury shall before deciding— (a) whether to refuse...Investigations by the Office of Fair Trading4(1) For the purpose of investigating any matter with a...Enforcement4A(1) The court may, on an application by the OFT...4B(1) A person commits an offence if he intentionally alters,...4AEnforcement4B(1) A person commits an offence if he intentionally alters,...Exemptions from the Fair Trading Act 19735(1) For the purpose of determining whether a monopoly situation...Exemptions from the Competition Act 19986(1) The Chapter I prohibition does not apply to —...Supplementary provisions7(1) Any direction given under this Schedule shall, on the...SCHEDULE 3PROCEDURE FOR REFUSAL OR WITHDRAWAL OF APPROVAL AS AN OPERATOR, OR FOR GIVING DIRECTIONS, ETC.1Before— (a) refusing an application for approval as an Operator...2A notice under paragraph 1 shall— (a) state why the...3Before the end of the period for making representations— 4The period for making representations is— (a) two months beginning—...5In deciding whether to refuse the application, withdraw the approval,...6When the Treasury have decided whether to refuse the application,...7If the Treasury consider it essential to do so, they...8If the Treasury have, in relation to a particular matter,...SCHEDULE 4KEEPING OF REGISTERS AND RECORDS OF PARTICIPATING SECURITIESInterpretation1In this Schedule— “uncertificated shares” means shares title to which...Registers of Members2(1) Every participating issuer which is a company shall enter...3Section 352A of the 1985 Act shall apply to a...4(1) In relation to every participating issuer which is a...Records of uncertificated shares5(1) Every participating issuer which is a company shall enter...Location of issuer register of members and records of uncertificated shares, and ancillary matters6(1) Subject to subparagraph (2), a company’s issuer register of...7(1) Every participating issuer which is a company having more...8Section 355 of the 1985 Act shall apply to a...9Section 356 of, and paragraph 25 of Schedule 13 to,...10Where under paragraph 6(1)(b), a company’s issuer register of members...11Where, under section 359 of the 1985 Act, the court...Registers of general public sector securities12(1) Where an Operator of a relevant system is required...Records of uncertificated general public sector securities13(1) The participating issuer shall enter in a record of...Registers of corporate securities14(1) Where an Operator of a relevant system is required...Records of uncertificated corporate securities15(1) A participating issuer shall enter in a record of...Miscellaneous16(1) Every register which an Operator is required to maintain...17(1) An entry in a register of securities or in...18Sections 722 and 723(1) and (2) of the 1985 Act...19(1) Such sanctions as apply to a company and its...20An officer of a participating issuer shall be in default...21An officer of an Operator shall be in default in...SCHEDULE 5ADAPTATIONS IN RESPECT OF NORTHERN IRELANDSCHEDULE 6TRANSITORY PROVISIONS1Prior to the day on which section 19 of the...2The definition of “securities” in regulation 3(1) shall be modified...3Regulation 5 shall be modified by the substitution for paragraph...4Regulation 7 shall be modified by— (a) the insertion in...5Regulation 8 shall be modified by— (a) the substitution for...6In regulation 9— (a) paragraph (7) shall be modified by...7Regulation 11(1) shall be modified to read— 8In paragraph 5(7) of Schedule 1— (a) paragraph (a) of...9Schedule 2 shall be modified by— (a) the substitution for...SCHEDULE 7MINOR AND CONSEQUENTIAL AMENDMENTSPart 1Primary LegislationThe National Debt Act 18701In section 3 of the National Debt Act 1870, for...The National Debt (Stockholders Relief) Act 18922In subsection (1) of section 2 of the National Debt...The Finance (No. 2) Act 19153In section 48 of the Finance (No. 2) Act 1915—...The Finance Act 19164In section 67 of the Finance Act 1916— The Finance Act 19495In section 48 of the Finance Act 1949— The Finance (No. 2) Act 19756In section 73 of the Finance (No. 2) Act 1975—...The Companies Act 19857In subsection (1)(b) of section 182 of the 1985 Act,...8In subsection (1) of section 183 of that Act, after...9In section 209(9B)(b) of the 1985 Act, for “Uncertificated Securities...10In subsection (4) of section 380 of the 1985 Act,...The Financial Services Act 198611In subsection (1) of section 180 of the 1986 Act,...12In the 1986 Act, in— (a) paragraph 16A(a) of Schedule...The Banking Act 198713In the Banking Act 1987, in— (a) paragraph 11B in...Part 2Subordinate LegislationThe Government Stock Regulations 196514In the 1965 Regulations— (a) in regulation 1(3), for “Subject...The Local Authority (Stocks and Bonds) Regulations 197415In the 1974 Regulations— (a) in regulation 1(3)— The Exchange of Securities (General) Rules 197916In the Exchange of Securities (General) Rules 1979— The Companies (Registers and other Records) Regulations 198517In the Companies (Registers and other Records) Regulations 1985— The Stamp Duty Reserve Tax Regulations 198618In the Stamp Duty Reserve Tax Regulations 1986, in the...The Companies (Registers and other Records) Regulations (Northern Ireland) 198619In the Companies (Registers and other Records) Regulations (Northern Ireland)...The Financial Markets and Insolvency Regulations 199620In the Financial Markets and Insolvency Regulations 1996— The Stock Transfer (Addition and Substitution of Forms) Order 199621In the Stock Transfer (Addition and Substitution of Forms) Order...The Financial Services Act 1986 (Exemption) Order 199622In the Financial Services Act 1986 (Exemption) Order 1996, in...The Stamp Duty Reserve Tax (UK Depository Interests in Foreign Securities) Regulations 199923In the Stamp Duty Reserve Tax (UK Depository Interests in...The Open-Ended Investment Companies Regulations 200124In the Open-Ended Investment Companies Regulations 2001— Statutory Instruments2001 No. 3755COMPANIESThe Uncertificated Securities Regulations 2001Made23rd November 2001Coming into force26th November 2001

Whereas a draft of these Regulations has been approved by resolution of each House of Parliament

Now, therefore, the Treasury, in exercise of the powers conferred by section 207 of the Companies Act 1989

1989 c. 40; section 207 was amended by the Bank of England Act 1998 (c. 11), section 35.

and now vested in them

By the Transfer of Functions (Financial Services) Order 1992 (S.I. 1992/1315).

, and of all other powers enabling them in that behalf, hereby make the following Regulations:

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<dc:title>The Uncertificated Securities Regulations 2001</dc:title>
<dc:subject>Legislation</dc:subject>
<dc:subject>Local government</dc:subject>
<dc:subject scheme="SIheading">COMPANIES</dc:subject>
<dc:publisher>Statute Law Database</dc:publisher>
<dc:modified>2024-10-10</dc:modified>
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<inline name="tocNum">PART 1</inline>
<inline name="tocHeading">CITATION, COMMENCEMENT, AND INTERPRETATION</inline>
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<inline name="tocHeading">Citation and commencement</inline>
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<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/2/2003-12-29" ukl:Name="ContentsItem">
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<inline name="tocHeading">Purposes and basic definition</inline>
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<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/3/2003-12-29" ukl:Name="ContentsItem">
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<inline name="tocHeading">Interpretation</inline>
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<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/part/2/2003-12-29" ukl:Name="ContentsPart">
<inline name="tocNum">PART 2</inline>
<inline name="tocHeading">THE OPERATOR</inline>
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<i>APPROVAL AND COMPLIANCE</i>
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<inline name="tocHeading">Applications for approval</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">Grant and refusal of approval</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">Fees charged by the Treasury</inline>
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<i>SUPERVISION</i>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">Withdrawal of approval</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">Compliance orders and directions</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/9/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">9</inline>
<inline name="tocHeading">Injunctions and restitution orders</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/10/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">10</inline>
<inline name="tocHeading">Provision of information by Operators</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/11/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">11</inline>
<inline name="tocHeading">Delegation of Treasury functions</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/12/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">12</inline>
<inline name="tocHeading">International obligations</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/13/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">13</inline>
<inline name="tocHeading">Prevention of restrictive practices</inline>
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<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/part/3/2003-12-29" ukl:Name="ContentsPart">
<inline name="tocNum">PART 3</inline>
<inline name="tocHeading">PARTICIPATING SECURITIES</inline>
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<inline name="tocHeading">PARTICIPATION BY ISSUERS</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/14/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">14</inline>
<inline name="tocHeading">Participation in respect of shares</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/15/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">15</inline>
<inline name="tocHeading">This regulation applies to a class of shares if a...</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/16/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">16</inline>
<inline name="tocHeading">(1) This regulation applies to a class of shares if...</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/17/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">17</inline>
<inline name="tocHeading">(1) A class of shares in relation to which, immediately...</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/18/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">18</inline>
<inline name="tocHeading">Interpretation of regulations 15, 16 and 17</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/19/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">19</inline>
<inline name="tocHeading">Participation in respect of securities other than shares</inline>
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<inline name="tocHeading">
<i>KEEPING OF REGISTERS AND RECORDS</i>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/20/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">20</inline>
<inline name="tocHeading">Entries on registers and records in respect of shares</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/21/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">21</inline>
<inline name="tocHeading">Entries on registers and records in respect of general public sector securities</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/22/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">22</inline>
<inline name="tocHeading">Entries on registers and records in respect of other securities</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/23/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">23</inline>
<inline name="tocHeading">General provisions concerning keeping registers and records</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/24/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">24</inline>
<inline name="tocHeading">Effect of entries on registers</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/25/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">25</inline>
<inline name="tocHeading">Rectification of registers of securities</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/26/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">26</inline>
<inline name="tocHeading">Closing registers</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/27/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">27</inline>
<inline name="tocHeading">Registration by an Operator of transfers of securities</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/28/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">28</inline>
<inline name="tocHeading">Registration by a participating issuer of transfers of securities upon conversion into certificated form</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/29/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">29</inline>
<inline name="tocHeading">Registration to be in accordance with regulations 27 and 28</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/30/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">30</inline>
<inline name="tocHeading">Registration of linked transfers</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/31/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">31</inline>
<inline name="tocHeading">Position of a transferee prior to entry on an issuer register of securities</inline>
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<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/part/3/crossheading/conversions-and-new-issues/2003-12-29" ukl:Name="ContentsPblock">
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<i>CONVERSIONS AND NEW ISSUES</i>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/32/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">32</inline>
<inline name="tocHeading">Conversion of securities into certificated form</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/33/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">33</inline>
<inline name="tocHeading">Conversion of securities into uncertificated form</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/34/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">34</inline>
<inline name="tocHeading">New issues in uncertificated form</inline>
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<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/part/4/2003-12-29" ukl:Name="ContentsPart">
<inline name="tocNum">PART 4</inline>
<inline name="tocHeading">
DEMATERIALISED INSTRUCTIONS
<abbr title="et cetera" xml:lang="la">ETC.</abbr>
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<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/35/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">35</inline>
<inline name="tocHeading">
Properly authenticated dematerialised instructions,
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<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/36/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">36</inline>
<inline name="tocHeading">Liability for forged dematerialised instructions, induced amendments to Operator registers of securities, and induced Operator-instructions</inline>
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<inline name="tocNum">PART 5</inline>
<inline name="tocHeading">MISCELLANEOUS AND SUPPLEMENTAL</inline>
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<i>MISCELLANEOUS</i>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/37/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">37</inline>
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Construction of references to transfers
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/38/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">38</inline>
<inline name="tocHeading">Certain formalities and requirements not to apply</inline>
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<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/39/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">39</inline>
<inline name="tocHeading">Fees charged by Operators</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/40/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">40</inline>
<inline name="tocHeading">
Trusts, trustees and personal representatives
<abbr title="et cetera" xml:lang="la">etc.</abbr>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/41/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">41</inline>
<inline name="tocHeading">
Notices of meetings
<abbr title="et cetera" xml:lang="la">etc.</abbr>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/42/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">42</inline>
<inline name="tocHeading">Notices to minority shareholders</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/43/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">43</inline>
<inline name="tocHeading">Irrevocable powers of attorney</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/44/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">44</inline>
<inline name="tocHeading">Actual notice</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/45/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">45</inline>
<inline name="tocHeading">Participating securities issued in uncertificated form</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/part/5/crossheading/defaults-and-contraventions/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">
<i>DEFAULTS AND CONTRAVENTIONS</i>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/46/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">46</inline>
<inline name="tocHeading">Breaches of statutory duty</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/47/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">47</inline>
<inline name="tocHeading">Liability of officers for contraventions</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/48/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">48</inline>
<inline name="tocHeading">Exemption from liability</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/part/5/crossheading/northern-ireland/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">
<i>NORTHERN IRELAND</i>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/49/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">49</inline>
<inline name="tocHeading">Application to Northern Ireland</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/part/5/crossheading/transitory-provisions-amendments-and-revocations/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">
<i>TRANSITORY PROVISIONS, AMENDMENTS AND REVOCATIONS</i>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/50/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">50</inline>
<inline name="tocHeading">Transitory provisions</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/51/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">51</inline>
<inline name="tocHeading">Minor and consequential amendments</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/regulation/52/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">52</inline>
<inline name="tocHeading">Revocations</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 1</inline>
<inline name="tocHeading">REQUIREMENTS FOR APPROVAL OF A PERSON AS OPERATOR</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/arrangements-and-resources/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Arrangements and resources</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">An Operator must have adequate arrangements and resources for the...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/financial-resources/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Financial resources</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">An Operator must have financial resources sufficient for the proper...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/promotion-and-maintenance-of-standards/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Promotion and maintenance of standards</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">An Operator must be able and willing to promote and...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/operation-of-the-relevant-system/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Operation of the relevant system</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">(1) Except in the circumstances referred to in subparagraph (2),...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/system-security/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">System security</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">(1) A relevant system must be so constructed and operate...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/system-capabilities/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">System capabilities</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">A relevant system must ensure that the Operator-system can send...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">Before an Operator registers a transfer of title to uncertificated...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">Before an Operator-instruction to a participating issuer to register a...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/9/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">9</inline>
<inline name="tocHeading">A relevant system must enable an Operator to comply with...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/10/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">10</inline>
<inline name="tocHeading">A relevant system must maintain adequate records of all dematerialised...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/11/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">11</inline>
<inline name="tocHeading">A relevant system must— (a) enable each system-member to obtain...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/12/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">12</inline>
<inline name="tocHeading">A relevant system must be able to permit each participating...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/13/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">13</inline>
<inline name="tocHeading">A relevant system must be able to establish, where there...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/14/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">14</inline>
<inline name="tocHeading">A relevant system must ensure that the Operator-system is able...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/15/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">15</inline>
<inline name="tocHeading">A relevant system must— (a) enable a system-member— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/16/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">16</inline>
<inline name="tocHeading">For the purposes of paragraph 15(a)(ii), once authority is granted...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/17/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">17</inline>
<inline name="tocHeading">Nothing in paragraph 15 or 16 shall be taken, in...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/18/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">18</inline>
<inline name="tocHeading">A relevant system must enable system-members— (a) to change the...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/19/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">19</inline>
<inline name="tocHeading">Paragraph 18 shall not apply to any wholly dematerialised security....</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/operating-procedures/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Operating procedures</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/20/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">20</inline>
<inline name="tocHeading">A relevant system must comprise procedures which provide that it...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/21/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">21</inline>
<inline name="tocHeading">(1) Subject to subparagraphs (2) to (5), a relevant system...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/22/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">22</inline>
<inline name="tocHeading">(1) Subject to subparagraph (2), a relevant system must comprise...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/23/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">23</inline>
<inline name="tocHeading">A relevant system must comprise procedures which ensure that, where...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/24/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">24</inline>
<inline name="tocHeading">A relevant system must comprise procedures which— </inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/crossheading/rules-and-practices/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Rules and practices</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/25/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">25</inline>
<inline name="tocHeading">An Operator’s rules and practices— (a) must bind system-members and...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/26/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">26</inline>
<inline name="tocHeading">An Operator’s rules and practices must require— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/1/paragraph/27/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">27</inline>
<inline name="tocHeading">An Operator must have rules which require system-users and former...</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 2</inline>
<inline name="tocHeading">PREVENTION OF RESTRICTIVE PRACTICES</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/examination-of-rules-and-practices/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Examination of rules and practices</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">(1) The Treasury shall not approve a person as Operator...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/modification-of-paragraph-1-where-delegation-order-is-made/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Modification of paragraph 1 where delegation order is made</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">(1) This paragraph applies instead of paragraph 1 where the...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/reports-by-the-director-general-of-fair-trading/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Reports by the Office of Fair Trading</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">(1) The Treasury shall before deciding— (a) whether to refuse...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/investigations-by-the-director-general-of-fair-trading/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Investigations by the Office of Fair Trading</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">(1) For the purpose of investigating any matter with a...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/enforcement/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Enforcement</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/4A/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4A</inline>
<inline name="tocHeading">(1) The court may, on an application by the OFT...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/4B/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4B</inline>
<inline name="tocHeading">(1) A person commits an offence if he intentionally alters,...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/4An1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4A</inline>
<inline name="tocHeading">Enforcement</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/4Bn1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4B</inline>
<inline name="tocHeading">(1) A person commits an offence if he intentionally alters,...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/exemptions-from-the-fair-trading-act-1973/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Exemptions from the Fair Trading Act 1973</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">(1) For the purpose of determining whether a monopoly situation...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/exemptions-from-the-competition-act-1998/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Exemptions from the Competition Act 1998</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">(1) The Chapter I prohibition does not apply to —...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/crossheading/supplementary-provisions/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Supplementary provisions</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/2/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">(1) Any direction given under this Schedule shall, on the...</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 3</inline>
<inline name="tocHeading">
PROCEDURE FOR REFUSAL OR WITHDRAWAL OF APPROVAL AS AN OPERATOR, OR FOR GIVING DIRECTIONS,
<abbr title="et cetera" xml:lang="la">ETC.</abbr>
</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">Before— (a) refusing an application for approval as an Operator...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">A notice under paragraph 1 shall— (a) state why the...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">Before the end of the period for making representations— </inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">The period for making representations is— (a) two months beginning—...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">In deciding whether to refuse the application, withdraw the approval,...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">When the Treasury have decided whether to refuse the application,...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">If the Treasury consider it essential to do so, they...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/3/paragraph/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">If the Treasury have, in relation to a particular matter,...</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 4</inline>
<inline name="tocHeading">KEEPING OF REGISTERS AND RECORDS OF PARTICIPATING SECURITIES</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/interpretation/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Interpretation</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">In this Schedule— “uncertificated shares” means shares title to which...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/registers-of-members/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Registers of Members</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">(1) Every participating issuer which is a company shall enter...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">Section 352A of the 1985 Act shall apply to a...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">(1) In relation to every participating issuer which is a...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/records-of-uncertificated-shares/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Records of uncertificated shares</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">(1) Every participating issuer which is a company shall enter...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/location-of-issuer-register-of-members-and-records-of-uncertificated-shares-and-ancillary-matters/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Location of issuer register of members and records of uncertificated shares, and ancillary matters</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">(1) Subject to subparagraph (2), a company’s issuer register of...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">(1) Every participating issuer which is a company having more...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">Section 355 of the 1985 Act shall apply to a...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/9/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">9</inline>
<inline name="tocHeading">Section 356 of, and paragraph 25 of Schedule 13 to,...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/10/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">10</inline>
<inline name="tocHeading">Where under paragraph 6(1)(b), a company’s issuer register of members...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/11/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">11</inline>
<inline name="tocHeading">Where, under section 359 of the 1985 Act, the court...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/registers-of-public-sector-securities/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Registers of general public sector securities</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/12/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">12</inline>
<inline name="tocHeading">(1) Where an Operator of a relevant system is required...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/records-of-uncertificated-public-sector-securities/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Records of uncertificated general public sector securities</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/13/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">13</inline>
<inline name="tocHeading">(1) The participating issuer shall enter in a record of...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/registers-of-corporate-securities/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Registers of corporate securities</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/14/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">14</inline>
<inline name="tocHeading">(1) Where an Operator of a relevant system is required...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/records-of-uncertificated-corporate-securities/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Records of uncertificated corporate securities</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/15/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">15</inline>
<inline name="tocHeading">(1) A participating issuer shall enter in a record of...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/crossheading/miscellaneous/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">Miscellaneous</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/16/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">16</inline>
<inline name="tocHeading">(1) Every register which an Operator is required to maintain...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/17/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">17</inline>
<inline name="tocHeading">(1) An entry in a register of securities or in...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/18/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">18</inline>
<inline name="tocHeading">Sections 722 and 723(1) and (2) of the 1985 Act...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/19/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">19</inline>
<inline name="tocHeading">(1) Such sanctions as apply to a company and its...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/20/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">20</inline>
<inline name="tocHeading">An officer of a participating issuer shall be in default...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/21/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">21</inline>
<inline name="tocHeading">An officer of an Operator shall be in default in...</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/5/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 5</inline>
<inline name="tocHeading">ADAPTATIONS IN RESPECT OF NORTHERN IRELAND</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 6</inline>
<inline name="tocHeading">TRANSITORY PROVISIONS</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">Prior to the day on which section 19 of the...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">The definition of “securities” in regulation 3(1) shall be modified...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">Regulation 5 shall be modified by the substitution for paragraph...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">Regulation 7 shall be modified by— (a) the insertion in...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">Regulation 8 shall be modified by— (a) the substitution for...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">In regulation 9— (a) paragraph (7) shall be modified by...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">Regulation 11(1) shall be modified to read— </inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">In paragraph 5(7) of Schedule 1— (a) paragraph (a) of...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/6/paragraph/9/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">9</inline>
<inline name="tocHeading">Schedule 2 shall be modified by— (a) the substitution for...</inline>
</tocItem>
<tocItem level="1" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/2003-12-29" ukl:Name="ContentsSchedule">
<inline name="tocNum">SCHEDULE 7</inline>
<inline name="tocHeading">MINOR AND CONSEQUENTIAL AMENDMENTS</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/2003-12-29" ukl:Name="ContentsPart">
<inline name="tocNum">Part 1</inline>
<inline name="tocHeading">
<inline name="smallCaps">Primary Legislation</inline>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-national-debt-act-1870/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The National Debt Act 1870</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/1/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">1</inline>
<inline name="tocHeading">In section 3 of the National Debt Act 1870, for...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-national-debt-stockholders-relief-act-1892/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The National Debt (Stockholders Relief) Act 1892</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/2/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">2</inline>
<inline name="tocHeading">In subsection (1) of section 2 of the National Debt...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-finance-no-2-act-1915/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">
The Finance (
<abbr title="Number">No.</abbr>
2) Act 1915
</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/3/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">3</inline>
<inline name="tocHeading">In section 48 of the Finance (No. 2) Act 1915—...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-finance-act-1916/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Finance Act 1916</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/4/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">4</inline>
<inline name="tocHeading">In section 67 of the Finance Act 1916— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-finance-act-1949/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Finance Act 1949</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/5/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">5</inline>
<inline name="tocHeading">In section 48 of the Finance Act 1949— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-finance-no-2-act-1975/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">
The Finance (
<abbr title="Number">No.</abbr>
2) Act 1975
</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/6/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">6</inline>
<inline name="tocHeading">In section 73 of the Finance (No. 2) Act 1975—...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-companies-act-1985/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Companies Act 1985</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/7/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">7</inline>
<inline name="tocHeading">In subsection (1)(b) of section 182 of the 1985 Act,...</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/8/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">8</inline>
<inline name="tocHeading">In subsection (1) of section 183 of that Act, after...</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/9/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">9</inline>
<inline name="tocHeading">In section 209(9B)(b) of the 1985 Act, for “Uncertificated Securities...</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/10/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">10</inline>
<inline name="tocHeading">In subsection (4) of section 380 of the 1985 Act,...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-financial-services-act-1986/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Financial Services Act 1986</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/11/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">11</inline>
<inline name="tocHeading">In subsection (1) of section 180 of the 1986 Act,...</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/12/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">12</inline>
<inline name="tocHeading">In the 1986 Act, in— (a) paragraph 16A(a) of Schedule...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/1/crossheading/the-banking-act-1987/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Banking Act 1987</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/13/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">13</inline>
<inline name="tocHeading">In the Banking Act 1987, in— (a) paragraph 11B in...</inline>
</tocItem>
<tocItem level="2" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/2003-12-29" ukl:Name="ContentsPart">
<inline name="tocNum">Part 2</inline>
<inline name="tocHeading">
<inline name="smallCaps">Subordinate Legislation</inline>
</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-government-stock-regulations-1965/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Government Stock Regulations 1965</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/14/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">14</inline>
<inline name="tocHeading">In the 1965 Regulations— (a) in regulation 1(3), for “Subject...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-local-authority-stocks-and-bonds-regulations-1974/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Local Authority (Stocks and Bonds) Regulations 1974</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/15/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">15</inline>
<inline name="tocHeading">In the 1974 Regulations— (a) in regulation 1(3)— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-exchange-of-securities-general-rules-1979/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Exchange of Securities (General) Rules 1979</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/16/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">16</inline>
<inline name="tocHeading">In the Exchange of Securities (General) Rules 1979— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-companies-registers-and-other-records-regulations-1985/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Companies (Registers and other Records) Regulations 1985</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/17/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">17</inline>
<inline name="tocHeading">In the Companies (Registers and other Records) Regulations 1985— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-stamp-duty-reserve-tax-regulations-1986/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Stamp Duty Reserve Tax Regulations 1986</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/18/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">18</inline>
<inline name="tocHeading">In the Stamp Duty Reserve Tax Regulations 1986, in the...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-companies-registers-and-other-records-regulations-northern-ireland-1986/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Companies (Registers and other Records) Regulations (Northern Ireland) 1986</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/19/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">19</inline>
<inline name="tocHeading">In the Companies (Registers and other Records) Regulations (Northern Ireland)...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-financial-markets-and-insolvency-regulations-1996/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Financial Markets and Insolvency Regulations 1996</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/20/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">20</inline>
<inline name="tocHeading">In the Financial Markets and Insolvency Regulations 1996— </inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-stock-transfer-addition-and-substitution-of-forms-order-1996/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Stock Transfer (Addition and Substitution of Forms) Order 1996</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/21/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">21</inline>
<inline name="tocHeading">In the Stock Transfer (Addition and Substitution of Forms) Order...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-financial-services-act-1986-exemption-order-1996/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Financial Services Act 1986 (Exemption) Order 1996</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/22/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">22</inline>
<inline name="tocHeading">In the Financial Services Act 1986 (Exemption) Order 1996, in...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-stamp-duty-reserve-tax-uk-depository-interests-in-foreign-securities-regulations-1999/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Stamp Duty Reserve Tax (UK Depository Interests in Foreign Securities) Regulations 1999</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/23/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">23</inline>
<inline name="tocHeading">In the Stamp Duty Reserve Tax (UK Depository Interests in...</inline>
</tocItem>
<tocItem level="3" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/part/2/crossheading/the-openended-investment-companies-regulations-2001/2003-12-29" ukl:Name="ContentsPblock">
<inline name="tocHeading">The Open-Ended Investment Companies Regulations 2001</inline>
</tocItem>
<tocItem level="4" href="http://www.legislation.gov.uk/uksi/2001/3755/schedule/7/paragraph/24/2003-12-29" ukl:Name="ContentsItem">
<inline name="tocNum">24</inline>
<inline name="tocHeading">In the Open-Ended Investment Companies Regulations 2001— </inline>
</tocItem>
</toc>
</coverPage>
<preface eId="preface">
<block name="banner">Statutory Instruments</block>
<block name="number">
<docNumber>2001 No. 3755</docNumber>
</block>
<container name="subjects">
<container name="subject">
<block name="subject">
<concept refersTo="#">COMPANIES</concept>
</block>
</container>
</container>
<block name="title">
<docTitle>The Uncertificated Securities Regulations 2001</docTitle>
</block>
<container name="dates">
<block name="madeDate" refersTo="#date-made">
<span>Made</span>
<docDate date="2001-11-23">23rd November 2001</docDate>
</block>
<block name="commenceDate" refersTo="#date-cif-1">
<span>Coming into force</span>
<docDate date="2001-11-26">26th November 2001</docDate>
</block>
</container>
</preface>
<preamble>
<p>Whereas a draft of these Regulations has been approved by resolution of each House of Parliament</p>
<formula name="enactingText">
<p>
Now, therefore, the Treasury, in exercise of the powers conferred by section 207 of the Companies Act 1989
<authorialNote class="footnote" eId="f00001" marker="1">
<p>
<ref eId="c00003" href="http://www.legislation.gov.uk/id/ukpga/1989/40">1989 c. 40</ref>
; section 207 was amended by the Bank of England Act
<ref eId="c00004" href="http://www.legislation.gov.uk/id/ukpga/1998/11">1998 (c. 11)</ref>
, section 35.
</p>
</authorialNote>
and now vested in them
<authorialNote class="footnote" eId="f00002" marker="2">
<p>
By the Transfer of Functions (Financial Services) Order 1992 (
<abbr class="acronym" title="Statutory Instrument">S.I.</abbr>
<ref eId="c00005" href="http://www.legislation.gov.uk/id/uksi/1992/1315">1992/1315</ref>
).
</p>
</authorialNote>
, and of all other powers enabling them in that behalf, hereby make the following Regulations:
</p>
</formula>
</preamble>
</act>
</akomaNtoso>