http://www.legislation.gov.uk/uksi/2001/3755/schedule/4/paragraph/20
The Uncertificated Securities Regulations 2001
Legislation
Local government
COMPANIES
2021-11-08
Statute Law Database
2001-11-26
The Uncertificated Securities Regulations 2001
reg. 16(8A)
The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009
reg. 2(3)
reg. 1(2)
The Uncertificated Securities Regulations 2001
reg. 23(5)
The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009
reg. 2(9)
reg. 1(2)
The Uncertificated Securities Regulations 2001
reg. 41(6)
The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009
reg. 2(18)(c)
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 4
para. 20
The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009
reg. 2(21)(aa)
reg. 1(2)
The Uncertificated Securities Regulations 2001
reg. 11A
11B
The Uncertificated Securities (Amendment) Regulations 2013
reg. 2(10)
reg. 3
reg. 1
The Uncertificated Securities Regulations 2001
reg. 9(10)(fa)-(fd)
The Alternative Investment Fund Managers Regulations 2013
Sch. 2
para. 15
reg. 1
The Uncertificated Securities Regulations 2001
reg. 9(13)
The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013
Sch. 2
para. 73(b)(ii)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013
Sch. 2
para. 73(c)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 5(7)(ba)
The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
reg. 36(2)(b)
regs. 52-58
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Capital Requirements Regulations 2013
Sch. 2
para. 59(a)
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Capital Requirements Regulations 2013
Sch. 2
para. 59(b)
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Capital Requirements Regulations 2013
Sch. 2
para. 59(c)
reg. 1(2)
The Uncertificated Securities Regulations 2001
reg. 3(1)(b)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 3(j)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 3(b)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 3(o)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 3(3)(iii) and word
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 4(1)(b)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 3(4)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 4(2)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 21(3)(c) and word
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 8(1)(b)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 21(6)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 8(3)
reg. 1(1)
The Uncertificated Securities Regulations 2001
Sch. 4
para. 19(2A)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 8(4)(c)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 22(3A)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 9(2)
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 24(8)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 10
reg. 1(1)
The Uncertificated Securities Regulations 2001
reg. 27(7A)
The Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003
reg. 11(b)
reg. 1(1)
The Uncertificated Securities Regulations 2001
Sch. 2
para 4A
4B
The Enterprise Act 2002 (Consequential and Supplemental Provisions) Order 2003
Sch.
para. 43(2)(c)
art. 1
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 4(9)(h)
regs. 10-12
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 3
para. 6(1)(a)
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 4(11)(e)(i)
regs. 10-12
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 3
para. 6(1)(b)
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 4(11)(e)(i)
regs. 10-12
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 3
para. 6(1)
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 4(11)(e)(ii)
regs. 10-12
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 3
para. 9
10
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 4(11)(f)
regs. 10-12
reg. 1(2)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 5(7)(ba)
The Uncertificated Securities (Amendment and EU Exit) Regulations 2019
reg. 14(3)(a)
regs. 10-12
reg. 1(3)
The Uncertificated Securities Regulations 2001
Regulations
The Government Stock Regulations 2004
reg. 15(3)
(4)
The Uncertificated Securities Regulations 2001
reg. 48(c)-(f)
The Government Stock (Consequential and Transitional Provision) (No. 2) Order 2004
Sch.
para. 29(5)
art. 3;Sch. para. 1
art. 1
The Uncertificated Securities Regulations 2001
Sch. 4
para. 19(4)(c)-(f)
The Government Stock (Consequential and Transitional Provision) (No. 2) Order 2004
Sch.
para. 29(6)(c)
art. 3;Sch. para. 1
art. 1
The Uncertificated Securities Regulations 2001
reg. 3(3)(a)(iii)
The Local Authorities (Capital Finance) (Further Consequential and Saving Provisions) Order 2004
art. 6(1)(d)(ii)
art. 1
The Uncertificated Securities Regulations 2001
reg. 21(3)(c)
The Local Authorities (Capital Finance) (Further Consequential and Saving Provisions) Order 2004
art. 6(2)(a)(ii)
art. 1
The Uncertificated Securities Regulations 2001
reg. 21(6)
The Local Authorities (Capital Finance) (Further Consequential and Saving Provisions) Order 2004
art. 6(2)(b)
art. 1
The Uncertificated Securities Regulations 2001
Sch. 4
para. 19(2A)
The Local Authorities (Capital Finance) (Further Consequential and Saving Provisions) Order 2004
art. 6(3)
art. 1
The Uncertificated Securities Regulations 2001
reg. 16(7)
(7A)
The Companies Act 2006 (Commencement No. 3, Consequential Amendments, Transitional Provisions and Savings) Order 2007
Sch. 4
para. 97(2)
art. 12
art. 1(3)(a)
The Uncertificated Securities Regulations 2001
reg. 16(8A)
The Companies Act 2006 (Commencement No. 3, Consequential Amendments, Transitional Provisions and Savings) Order 2007
Sch. 4
para. 97(3)
art. 12
art. 1(3)(a)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28
The Uncertificated Securities (Amendment) Regulations 2007
reg. 3
reg. 1
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(3)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
Sch. 5
para. 3(a)
reg. 7
reg. 1(2)
(3)
(4)
(6)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
Sch. 5
para. 3(b)(i)
reg. 7
reg. 1(2)
(3)
(4)
(6)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
Sch. 5
para. 3(b)(ii)
reg. 7
reg. 1(2)
(3)
(4)
(6)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
Sch. 5
para. 3(b)(iii)
reg. 7
reg. 1(2)
(3)
(4)
(6)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017
Sch. 5
para. 3(b)(iv)
reg. 7
reg. 1(2)
(3)
(4)
(6)
The Uncertificated Securities Regulations 2001
Regulations
The Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023
reg. 6
Sch.
Pt. 5
reg. 13
reg. 1(2)
The Uncertificated Securities Regulations 2001
Regulations
The Payment and Electronic Money Institution Insolvency (Amendment) Regulations 2023
reg. 4
reg. 1(2)
The Uncertificated Securities Regulations 2001
Regulations
The Payment and Electronic Money Institution Insolvency (Amendment) Regulations 2023
Sch. 1
reg. 1(2)
The Uncertificated Securities Regulations 2001
Regulations
Financial Services and Markets Act 2023
s. 13
17
s. 86(3)
reg. 4(h)
(l)
The Uncertificated Securities Regulations 2001
Regulations
Financial Services and Markets Act 2023
s. 15
17
s. 86(3)
reg. 4(j)
(l)
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Capital Requirements (Amendment) Regulations 2010
Sch. 2
para. 4(a)
reg. 1
The Uncertificated Securities Regulations 2001
Sch. 1
para. 28(4)
The Capital Requirements (Amendment) Regulations 2012
Sch. 2
para. 3(a)
reg. 1
The Uncertificated Securities Regulations 2001
Regulations
The Investment Bank Special Administration Regulations 2011
Sch. 3
para. 6(1)(b)
para. 6(3)(b)
reg. 1
The Uncertificated Securities Regulations 2001
Regulations
The Payment and Electronic Money Institution Insolvency Regulations 2021
Sch. 1
para. 5(b)(ii)
reg. 5
reg. 2
The Uncertificated Securities Regulations 2001
SCHEDULE 4KEEPING OF REGISTERS AND RECORDS OF PARTICIPATING SECURITIES
Miscellaneous
I120
An officer of a participating issuer shall be in default in complying with, or in contravention of paragraph 2, 5, 6, 7, 13 or 15, or section 722(2) of the 1985 Act as applied by paragraph 18, if, and only if, he knowingly and wilfully authorised or permitted the default or contravention.