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The Recognised Auction Platforms Regulations 2011
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- UK Statutory Instruments
- 2011 No. 2699
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The Recognised Auction Platforms Regulations 2011 is up to date with all changes known to be in force on or before 18 November 2024. There are changes that may be brought into force at a future date.
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PART 5 Auction Recognition Requirements
3.Section 122C (power to require information: supplementary) has effect as...
4.Section 122D (entry of premises under warrant) has effect as...
5.Section 122H(3) (publication of corrective statements generally) has effect as...
6.Part 8 (provisions relating to market abuse) has effect as...
7.Section 123(1) (power to impose penalties or issue censure) has...
8.Section 123A (power to prohibit individuals from managing or dealing)...
9.Section 123B(1) (suspending permission to carry on regulated activities etc)...
10.In section 124(10) (statement of policy) the definition of “relevant...
11.Section 129 (power of court to impose a penalty, prohibition,...
12.Section 130(1)(a) (guidance) has effect as if the reference to...
13.Section 131A(2) (protected disclosures) has effect as if the reference...
14.Section 131AB (interpretation) has effect as if at the appropriate...
15.Section 131AE (liability for contraventions of Article 14 or 15...
17.Section 168 (appointment of persons to carry out investigations in...
18.Section 169(2A)(b) (investigations etc in support of overseas regulator) has...
19.Section 174(3A) (admissibility of statements made to investigators) has effect...
20.Section 300(4) (extension of functions of Tribunal) has effect as...
21.Section 381 (injunctions in cases of market abuse) has effect...
22.Section 383(1)(a) (restitution orders in cases of market abuse) has...
23.Section 384 (power of FCA to require restitution) has effect...
24.Section 417(1) (definitions) has effect as if at the appropriate...
Modifications of Part 18 of the Act in relation to recognised auction platforms
1.In section 285(2), reference to the exchange's business as an...
2.In section 291(3), reference to the obligations to which the...
4.In section 293, in subsection (6)(a), reference to transactions effected...
5.In section 293A , reference to any directly applicable Community...
6.In section 299(2), reference to whether the body concerned should...
7.In section 300— (a) in subsection (1)(a), reference to a...
8.In section 301F(4), reference to any financial market operated by...
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