Reg. 63(1)(da) inserted (6.9.2019) by The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212), regs. 1(2), 4(2)(a)

Words in reg. 63(1)(da) inserted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 2(a)

Reg. 63(3)-(5) inserted (6.9.2019) by The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212), regs. 1(2), 4(2)(b)

Words in reg. 63(3) substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 2(b)

Words in reg. 63(4) substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 2(b)

Words in reg. 63(5) substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 2(b)

Part 2 was amended by the Enterprise Act 2002, section 278(1) and Schedule 25, paragraph 40, by the Consumer Credit Act 2006, section 33(9) and by S.I. 2003/1473, 2003/2066, 2007/126 and 2007/3253.

1925 c.86. Section 33 was amended by the Magistrates Courts Act 1952 (c.55), section 132 and Schedule 6, by the Courts Act 1971 (c.23), section 56(1) and Schedule 8 and by the Courts Act 2003 (c.39), Schedule 8, paragraph 71 and Schedule 10.

1980 c.43. Schedule 3 was amended by the Criminal Justice Act 1991 (c.53), section 25(2) and Schedule 13, and by the Criminal Procedures and Investigations Act 1996 (c.25), Schedule 1, paragraph 1. Amendments by the Criminal Justice Act 2003 (c.44), Schedule 3, paragraph 51 and Schedule 37, Part 4 have not come into force at the time of making these Regulations.

1995 c.46. Section 70 was amended by the Postal Services Act 2000 (Consequential Modifications No 1) Order 2001 (S.I. 2001/1149), Schedule 1, paragraph 104, the Criminal Procedure (Amendment) (Scotland) Act 2004 (asp 5), section 10(6) and the Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (asp 6), section 28. Amendments by the Criminal Justice and Licensing (Scotland) Act 2010 (asp 13), section 66 have not come into force at the time of making these Regulations.

1945 c.15 (N.I.). Section 18 was amended by the Magistrates Courts Act 1964 (c.21) and by the Justice (Northern Ireland) Act 2002 (c.26), Schedule 12.

S.I. 1981/1675 (N.I. 26).

http://www.legislation.gov.uk/uksi/2011/99/part/7/crossheading/offences/2020-01-31The Electronic Money Regulations 2011texttext/xmlenStatute Law DatabaseFINANCIAL SERVICES AND MARKETS2024-06-19Expert Participation2020-01-31These Regulations implement Directive 2009/110/EC of the European Parliament and of the Council of 16th September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions (“the Directive”) (OJ No L 275, 27.10.2000, p.39).PART 7GENERALOffencesProhibition on issuing electronic money by persons other than electronic money issuers63.(1)

A person may not issue electronic money in the United Kingdom, or purport to do so, unless the person is—

(a)

an authorised electronic money institution;

(b)

a small electronic money institution;

(c)

an EEA authorised electronic money institution exercising its passport rights;

(d)

a credit institution authorised in the UK or exercising an EEA right in accordance with Part 2 of Schedule 3 to the 2000 Act (exercise of passport rights by EEA firms) ;

(da)

after IP completion day, a credit institution while it is an exempt person for the purposes of section 19(1)(b) of the Financial Services and Markets Act 2000 by virtue of regulation 47 of the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018 but only in respect of a service specified in paragraph (3);

(e)

the Post Office Limited;

(f)

the Bank of England, the European Central Bank or a national central bank of an EEA state other than the United Kingdom;

(g)

a government department or local authority;

(h)

a credit union;

(i)

a municipal bank; or

(j)

the National Savings Bank.

(2)

A person who contravenes paragraph (1) is guilty of an offence and is liable—

(a)

on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale, or both;

(b)

on conviction on indictment, to imprisonment for a term not exceeding two years, or to a fine, or both.

(3)

A service is specified as one that may be provided by a credit institution under paragraph (1)(da) only to the extent that the credit institution was providing the service in the United Kingdom immediately before IP completion day in accordance with the exercise of an EEA passport right under Title 5 of Directive 2013/36/EU as in force immediately before IP completion day and the service is necessary as specified in paragraph (4).

(4)

This paragraph applies where the service is necessary—

(a)

for the performance of a contract entered into before IP completion day and provided for the purposes of performing such a contract or to redeem outstanding electronic money;

(b)

for the purpose of reducing the financial risk of a party to a contract entered into before IP completion day or of a third party affected by the performance of such a contract;

(c)

in order to transfer the property, rights or liabilities under a contract entered into before IP completion day to a person authorised to carry on a regulated activity under section 31(1)(a) of FSMA (other than a person authorised to carry on a regulated activity under that section of FSMA by virtue of the provisions contained in the Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019); or

(d)

in order to comply with a requirement imposed by or under an enactment.

(5)

For the purposes of paragraph (4)(a), the performance of a contract entered into before IP completion day includes the performance of an obligation under the contract which is contingent or conditional.

False claims to be an electronic money issuer64.(1)

A person who does not fall within any of sub-paragraphs (a) to (j) of regulation 63(1) may not—

(a)

describe themselves (in whatever terms) as a person falling within any of those sub-paragraphs; or

(b)

behave, or otherwise hold themselves out, in a manner which indicates (or which is reasonably likely to be understood as indicating) that they are such a person.

(2)

A person who contravenes paragraph (1) is guilty of an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

Defences65.

In proceedings for an offence under regulation 63 or 64 it is a defence for the accused to show that they took all reasonable precautions and exercised all due diligence to avoid committing the offence.

Misleading the authority66.(1)

A person may not, in purported compliance with any requirement imposed by or under these Regulations, knowingly or recklessly give the Authority information which is false or misleading in any material particular.

(2)

A person may not—

(a)

provide any information to another person, knowing the information to be false or misleading in a material particular; or

(b)

recklessly provide to another person any information which is false or misleading in a material particular,

knowing that the information is to be used for the purpose of providing information to the Authority in connection with its functions under these Regulations.

(3)

A person who contravenes paragraph (1) or (2) is guilty of an offence and is liable—

(a)

on summary conviction, to a fine not exceeding level 5 on the standard scale;

(b)

on conviction on indictment, to a fine.

Restriction on penalties67.

A person who is convicted of an offence under these Regulations is not liable to a penalty under regulation 51 in respect of the same contravention of a requirement imposed by or under these Regulations.

Liability of officers of bodies corporate etc68.(1)

If an offence under these Regulations committed by a body corporate is shown—

(a)

to have been committed with the consent or connivance of an officer; or

(b)

to be attributable to any neglect on their part,

the officer as well as the body corporate is guilty of the offence and liable to be proceeded against and punished accordingly.

(2)

If the affairs of a body corporate are managed by its members, paragraph (1) applies in relation to the acts and defaults of a member in connection with such member's functions of management as if the member were a director of the body.

(3)

If an offence under these Regulations committed by a partnership is shown—

(a)

to have been committed with the consent or connivance of a partner; or

(b)

to be attributable to any neglect on their part,

the partner as well as the partnership is guilty of the offence and liable to be proceeded against and punished accordingly.

(4)

If an offence under these Regulations committed by an unincorporated association (other than a partnership) is shown—

(a)

to have been committed with the consent or connivance of an officer; or

(b)

to be attributable to any neglect of such officer,

the officer as well as the association is guilty of the offence and liable to be proceeded against and punished accordingly.

(5)

In this regulation—

“officer”—

(a)

in relation to a body corporate, means a director, manager, secretary, chief executive, member of the committee of management, or a person purporting to act in that capacity; and

(b)

in relation to an unincorporated association, means any officer of the association or any member of its governing body, or a person purporting to act in such capacity;

partner” includes a person purporting to act as a partner.

Prosecution69.(1)

Proceedings for an offence under these Regulations may be instituted only—

(a)

by the Authority; or

(b)

by or with the consent of the Director of Public Prosecutions.

(2)

Paragraph (1) does not apply to proceedings in Scotland.

Proceedings against unincorporated bodies70.(1)

Proceedings for an offence alleged to have been committed by a partnership or an unincorporated association must be brought in the name of the partnership or association (and not in that of its members).

(2)

A fine imposed on the partnership or association on its conviction of an offence is to be paid out of the funds of the partnership or association.

(3)

Rules of court relating to the service of documents are to have effect as if the partnership or association were a body corporate.

(4)

In proceedings for an offence brought against the partnership or association—

(a)

section 33 of the Criminal Justice Act 1925 (procedure on charge of offence against corporation) and section 46 of, and Schedule 3 to, the Magistrates' Courts Act 1980 (corporations) apply as they do in relation to a body corporate;

(b)

section 70 (of the Criminal Procedure (Scotland) Act 1995 (proceedings against bodies corporate) applies as it does in relation to a body corporate;

(c)

section 18 of the Criminal Justice (Northern Ireland) Act 1945 (procedure on charge) and Schedule 4 to the Magistrates' Courts (Northern Ireland) Order 1981 (corporations) apply as they do in relation to a body corporate.

(5)

Summary proceedings for an offence under these Regulations may be taken—

(a)

against a body corporate or unincorporated association at any place at which it has a place of business;

(b)

against an individual at any place where they are for the time being.

(6)

Paragraph (5) does not affect any jurisdiction exercisable apart from this regulation.

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<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-591fabd80efe44954d23026ebd05fa35" marker="F1">
<p>
Reg. 63(1)(da) inserted (6.9.2019) by
<ref eId="czkwx4n93-00016" href="http://www.legislation.gov.uk/id/uksi/2019/1212">The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212)</ref>
,
<ref eId="czkwx4n93-00017" class="subref" href="http://www.legislation.gov.uk/id/uksi/2019/1212/regulation/1/2">regs. 1(2)</ref>
,
<ref eId="czkwx4n93-00018" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2019/1212/regulation/4/2/a">4(2)(a)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-021258bdb61602c62d5c8a8bedc59557" marker="F2">
<p>
Words in
<ref eId="czkxdxjw3-00006" class="subref" href="http://www.legislation.gov.uk/id/uksi/2011/99/regulation/63/1/da">reg. 63(1)(da)</ref>
inserted (31.1.2020 immediately before exit day) by
<ref eId="czkxdxjw3-00007" href="http://www.legislation.gov.uk/id/uksi/2020/56">The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56)</ref>
,
<ref eId="czkxdxjw3-00008" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/1">regs. 1</ref>
,
<ref eId="czkxdxjw3-00009" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/2/a">2(a)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-bb2b0169e0ed5d087bfad39cb2d5d268" marker="F3">
<p>
Reg. 63(3)-(5) inserted (6.9.2019) by
<ref eId="czkwx4n93-00007" href="http://www.legislation.gov.uk/id/uksi/2019/1212">The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212)</ref>
,
<ref eId="czkwx4n93-00008" class="subref" href="http://www.legislation.gov.uk/id/uksi/2019/1212/regulation/1/2">regs. 1(2)</ref>
,
<ref eId="czkwx4n93-00009" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2019/1212/regulation/4/2/b">4(2)(b)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-760dd6f10aed61ad75da25e0f8888f08" marker="F4">
<p>
Words in
<ref eId="czkxdxjw3-00015" class="subref" href="http://www.legislation.gov.uk/id/uksi/2011/99/regulation/63/3">reg. 63(3)</ref>
substituted (31.1.2020 immediately before exit day) by
<ref eId="czkxdxjw3-00016" href="http://www.legislation.gov.uk/id/uksi/2020/56">The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56)</ref>
,
<ref eId="czkxdxjw3-00017" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/1">regs. 1</ref>
,
<ref eId="czkxdxjw3-00018" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/2/b">2(b)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-6068974a9d18b2594d15e035f514053f" marker="F5">
<p>
Words in
<ref eId="czkxdxjw3-00033" class="subref" href="http://www.legislation.gov.uk/id/uksi/2011/99/regulation/63/4">reg. 63(4)</ref>
substituted (31.1.2020 immediately before exit day) by
<ref eId="czkxdxjw3-00034" href="http://www.legislation.gov.uk/id/uksi/2020/56">The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56)</ref>
,
<ref eId="czkxdxjw3-00035" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/1">regs. 1</ref>
,
<ref eId="czkxdxjw3-00036" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/2/b">2(b)</ref>
</p>
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<note ukl:Name="Commentary" ukl:Type="F" class="commentary F" eId="key-dbf6fde195d904696de3658acacbe75f" marker="F6">
<p>
Words in
<ref eId="czkxdxjw3-00024" class="subref" href="http://www.legislation.gov.uk/id/uksi/2011/99/regulation/63/5">reg. 63(5)</ref>
substituted (31.1.2020 immediately before exit day) by
<ref eId="czkxdxjw3-00025" href="http://www.legislation.gov.uk/id/uksi/2020/56">The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56)</ref>
,
<ref eId="czkxdxjw3-00026" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/1">regs. 1</ref>
,
<ref eId="czkxdxjw3-00027" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/56/regulation/2/b">2(b)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674791" marker="M1">
<p>
Part 2 was amended by the Enterprise Act 2002, section 278(1) and Schedule 25, paragraph 40, by the Consumer Credit Act 2006, section 33(9) and by
<ref eId="c00086" href="http://www.legislation.gov.uk/id/uksi/2003/1473">S.I. 2003/1473</ref>
, 2003/2066, 2007/126 and 2007/3253.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674801" marker="M2">
<p>
<ref eId="c00087" href="http://www.legislation.gov.uk/id/ukpga/1925/86">1925 c.86</ref>
. Section 33 was amended by the
<ref eId="c00088" href="http://www.legislation.gov.uk/id/ukpga/1952/55">Magistrates Courts Act 1952 (c.55)</ref>
,
<ref eId="c00089" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1952/55/section/132">section 132</ref>
and Schedule 6, by the
<ref eId="c00090" href="http://www.legislation.gov.uk/id/ukpga/1971/23">Courts Act 1971 (c.23)</ref>
,
<ref eId="c00091" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1971/23/section/56/1">section 56(1)</ref>
and Schedule 8 and by the
<ref eId="c00092" href="http://www.legislation.gov.uk/id/ukpga/2003/39">Courts Act 2003 (c.39)</ref>
,
<ref eId="c00093" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/2003/39/schedule/8">Schedule 8</ref>
,
<ref eId="c00094" class="subref" href="http://www.legislation.gov.uk/id/ukpga/2003/39/paragraph/71">paragraph 71</ref>
and Schedule 10.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674811" marker="M3">
<p>
<ref eId="c00095" href="http://www.legislation.gov.uk/id/ukpga/1980/43">1980 c.43</ref>
. Schedule 3 was amended by the
<ref eId="c00096" href="http://www.legislation.gov.uk/id/ukpga/1991/53">Criminal Justice Act 1991 (c.53)</ref>
,
<ref eId="c00097" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1991/53/section/25/2">section 25(2)</ref>
and Schedule 13, and by the
<ref eId="c00098" href="http://www.legislation.gov.uk/id/ukpga/1996/25">Criminal Procedures and Investigations Act 1996 (c.25)</ref>
,
<ref eId="c00099" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1996/25/schedule/1">Schedule 1</ref>
,
<ref eId="c00100" class="subref" href="http://www.legislation.gov.uk/id/ukpga/1996/25/paragraph/1">paragraph 1</ref>
. Amendments by the
<ref eId="c00101" href="http://www.legislation.gov.uk/id/ukpga/2003/44">Criminal Justice Act 2003 (c.44)</ref>
,
<ref eId="c00102" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/2003/44/schedule/3">Schedule 3</ref>
,
<ref eId="c00103" class="subref" href="http://www.legislation.gov.uk/id/ukpga/2003/44/paragraph/51">paragraph 51</ref>
and Schedule 37, Part 4 have not come into force at the time of making these Regulations.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674821" marker="M4">
<p>
<ref eId="c00104" href="http://www.legislation.gov.uk/id/ukpga/1995/46">1995 c.46</ref>
. Section 70 was amended by the
<ref eId="c00105" href="http://www.legislation.gov.uk/id/uksi/2001/1149">Postal Services Act 2000 (Consequential Modifications No 1) Order 2001 (S.I. 2001/1149)</ref>
,
<ref eId="c00106" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2001/1149/schedule/1">Schedule 1</ref>
,
<ref eId="c00107" class="subref" href="http://www.legislation.gov.uk/id/uksi/2001/1149/paragraph/104">paragraph 104</ref>
, the
<ref eId="c00108" href="http://www.legislation.gov.uk/id/asp/2004/5">Criminal Procedure (Amendment) (Scotland) Act 2004 (asp 5)</ref>
,
<ref eId="c00109" class="subref operative" href="http://www.legislation.gov.uk/id/asp/2004/5/section/10/6">section 10(6)</ref>
and the
<ref eId="c00110" href="http://www.legislation.gov.uk/id/asp/2007/6">Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (asp 6)</ref>
,
<ref eId="c00111" class="subref operative" href="http://www.legislation.gov.uk/id/asp/2007/6/section/28">section 28</ref>
. Amendments by the
<ref eId="c00112" href="http://www.legislation.gov.uk/id/asp/2010/13">Criminal Justice and Licensing (Scotland) Act 2010 (asp 13)</ref>
,
<ref eId="c00113" class="subref operative" href="http://www.legislation.gov.uk/id/asp/2010/13/section/66">section 66</ref>
have not come into force at the time of making these Regulations.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674831" marker="M5">
<p>
<ref eId="c00114" href="http://www.legislation.gov.uk/id/apni/1945/15">1945 c.15 (N.I.)</ref>
. Section 18 was amended by the
<ref eId="c00115" href="http://www.legislation.gov.uk/id/ukpga/1964/21">Magistrates Courts Act 1964 (c.21)</ref>
and by the
<ref eId="c00116" href="http://www.legislation.gov.uk/id/ukpga/2002/26">Justice (Northern Ireland) Act 2002 (c.26)</ref>
,
<ref eId="c00117" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/2002/26/schedule/12">Schedule 12</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c20674841" marker="M6">
<p>
<ref eId="c00118" href="http://www.legislation.gov.uk/id/nisi/1981/1675">S.I. 1981/1675 (N.I. 26)</ref>
.
</p>
</note>
</notes>
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<dc:identifier>http://www.legislation.gov.uk/uksi/2011/99/part/7/crossheading/offences/2020-01-31</dc:identifier>
<dc:title>The Electronic Money Regulations 2011</dc:title>
<dc:type>text</dc:type>
<dc:format>text/xml</dc:format>
<dc:language>en</dc:language>
<dc:publisher>Statute Law Database</dc:publisher>
<dc:subject scheme="SIheading">FINANCIAL SERVICES AND MARKETS</dc:subject>
<dc:modified>2024-06-19</dc:modified>
<dc:contributor>Expert Participation</dc:contributor>
<dct:valid>2020-01-31</dct:valid>
<dc:description>These Regulations implement Directive 2009/110/EC of the European Parliament and of the Council of 16th September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions (“the Directive”) (OJ No L 275, 27.10.2000, p.39).</dc:description>
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<ukm:Number Value="99"/>
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<body eId="body">
<part eId="part-7">
<num>
<b>PART 7</b>
</num>
<heading>GENERAL</heading>
<hcontainer name="crossheading" ukl:Name="Pblock" eId="part-7-crossheading-offences" uk:target="true">
<heading>
<i>Offences</i>
</heading>
<hcontainer name="regulation" eId="regulation-63">
<heading>Prohibition on issuing electronic money by persons other than electronic money issuers</heading>
<num>63.</num>
<paragraph eId="regulation-63-1">
<num>(1)</num>
<intro>
<p>A person may not issue electronic money in the United Kingdom, or purport to do so, unless the person is—</p>
</intro>
<level class="para1" eId="regulation-63-1-a">
<num>(a)</num>
<content>
<p>an authorised electronic money institution;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-b">
<num>(b)</num>
<content>
<p>a small electronic money institution;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-c">
<num>(c)</num>
<content>
<p>an EEA authorised electronic money institution exercising its passport rights;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-d">
<num>(d)</num>
<content>
<p>
a credit institution authorised in the UK or exercising an EEA right in accordance with Part 2 of Schedule 3 to the 2000 Act (exercise of passport rights by EEA firms)
<noteRef href="#c20674791" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-da">
<num>
<ins class="first" ukl:ChangeId="key-591fabd80efe44954d23026ebd05fa35-1606384527804" ukl:CommentaryRef="key-591fabd80efe44954d23026ebd05fa35">
<noteRef uk:name="commentary" href="#key-591fabd80efe44954d23026ebd05fa35" class="commentary"/>
(da)
</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-591fabd80efe44954d23026ebd05fa35-1606384527804" ukl:CommentaryRef="key-591fabd80efe44954d23026ebd05fa35">
<ins class="first last" ukl:ChangeId="key-021258bdb61602c62d5c8a8bedc59557-1606385315634" ukl:CommentaryRef="key-021258bdb61602c62d5c8a8bedc59557">
<noteRef uk:name="commentary" href="#key-021258bdb61602c62d5c8a8bedc59557" class="commentary"/>
after IP completion day,
</ins>
</ins>
<ins class="last" ukl:ChangeId="key-591fabd80efe44954d23026ebd05fa35-1606384527804" ukl:CommentaryRef="key-591fabd80efe44954d23026ebd05fa35"> a credit institution while it is an exempt person for the purposes of section 19(1)(b) of the Financial Services and Markets Act 2000 by virtue of regulation 47 of the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018 but only in respect of a service specified in paragraph (3);</ins>
</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-e">
<num>(e)</num>
<content>
<p>the Post Office Limited;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-f">
<num>(f)</num>
<content>
<p>the Bank of England, the European Central Bank or a national central bank of an EEA state other than the United Kingdom;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-g">
<num>(g)</num>
<content>
<p>a government department or local authority;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-h">
<num>(h)</num>
<content>
<p>a credit union;</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-i">
<num>(i)</num>
<content>
<p>a municipal bank; or</p>
</content>
</level>
<level class="para1" eId="regulation-63-1-j">
<num>(j)</num>
<content>
<p>the National Savings Bank.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-63-2">
<num>(2)</num>
<intro>
<p>A person who contravenes paragraph (1) is guilty of an offence and is liable—</p>
</intro>
<level class="para1" eId="regulation-63-2-a">
<num>(a)</num>
<content>
<p>on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale, or both;</p>
</content>
</level>
<level class="para1" eId="regulation-63-2-b">
<num>(b)</num>
<content>
<p>on conviction on indictment, to imprisonment for a term not exceeding two years, or to a fine, or both.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-63-3">
<num>
<ins class="first" ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<noteRef uk:name="commentary" href="#key-bb2b0169e0ed5d087bfad39cb2d5d268" class="commentary"/>
(3)
</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">A service is specified as one that may be provided by a credit institution under paragraph (1)(da) only to the extent that the credit institution was providing the service in the United Kingdom immediately before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-760dd6f10aed61ad75da25e0f8888f08-1606385350766" ukl:CommentaryRef="key-760dd6f10aed61ad75da25e0f8888f08">
<noteRef uk:name="commentary" href="#key-760dd6f10aed61ad75da25e0f8888f08" class="commentary"/>
IP completion day
</ins>
</ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> in accordance with the exercise of an EEA passport right under Title 5 of </ins>
<ref eId="c00005" href="http://www.legislation.gov.uk/id/eudr/2013/0036">
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">Directive 2013/36/EU</ins>
</ref>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> as in force immediately before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-760dd6f10aed61ad75da25e0f8888f08-1606385392820" ukl:CommentaryRef="key-760dd6f10aed61ad75da25e0f8888f08">
<noteRef uk:name="commentary" href="#key-760dd6f10aed61ad75da25e0f8888f08" class="commentary"/>
IP completion day
</ins>
</ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> and the service is necessary as specified in paragraph (4).</ins>
</p>
</content>
</paragraph>
<paragraph eId="regulation-63-4">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(4)</ins>
</num>
<intro>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">This paragraph applies where the service is necessary—</ins>
</p>
</intro>
<level class="para1" eId="regulation-63-4-a">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(a)</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">for the performance of a contract entered into before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-6068974a9d18b2594d15e035f514053f-1606385434429" ukl:CommentaryRef="key-6068974a9d18b2594d15e035f514053f">
<noteRef uk:name="commentary" href="#key-6068974a9d18b2594d15e035f514053f" class="commentary"/>
IP completion day
</ins>
</ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> and provided for the purposes of performing such a contract or to redeem outstanding electronic money;</ins>
</p>
</content>
</level>
<level class="para1" eId="regulation-63-4-b">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(b)</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">for the purpose of reducing the financial risk of a party to a contract entered into before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-6068974a9d18b2594d15e035f514053f-1606385604446" ukl:CommentaryRef="key-6068974a9d18b2594d15e035f514053f">
<noteRef uk:name="commentary" href="#key-6068974a9d18b2594d15e035f514053f" class="commentary"/>
IP completion day
</ins>
</ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> or of a third party affected by the performance of such a contract;</ins>
</p>
</content>
</level>
<level class="para1" eId="regulation-63-4-c">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(c)</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">in order to transfer the property, rights or liabilities under a contract entered into before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-6068974a9d18b2594d15e035f514053f-1606385618932" ukl:CommentaryRef="key-6068974a9d18b2594d15e035f514053f">
<noteRef uk:name="commentary" href="#key-6068974a9d18b2594d15e035f514053f" class="commentary"/>
IP completion day
</ins>
</ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> to a person authorised to carry on a regulated activity under section 31(1)(a) of FSMA (other than a person authorised to carry on a regulated activity under that section of FSMA by virtue of the provisions contained in the Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019); or</ins>
</p>
</content>
</level>
<level class="para1" eId="regulation-63-4-d">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(d)</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">in order to comply with a requirement imposed by or under an enactment.</ins>
</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-63-5">
<num>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">(5)</ins>
</num>
<content>
<p>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">For the purposes of paragraph (4)(a), the performance of a contract entered into before </ins>
<ins ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268">
<ins class="substitution first last" ukl:ChangeId="key-dbf6fde195d904696de3658acacbe75f-1606385642211" ukl:CommentaryRef="key-dbf6fde195d904696de3658acacbe75f">
<noteRef uk:name="commentary" href="#key-dbf6fde195d904696de3658acacbe75f" class="commentary"/>
IP completion day
</ins>
</ins>
<ins class="last" ukl:ChangeId="key-bb2b0169e0ed5d087bfad39cb2d5d268-1606384564660" ukl:CommentaryRef="key-bb2b0169e0ed5d087bfad39cb2d5d268"> includes the performance of an obligation under the contract which is contingent or conditional.</ins>
</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-64">
<heading>False claims to be an electronic money issuer</heading>
<num>64.</num>
<paragraph eId="regulation-64-1">
<num>(1)</num>
<intro>
<p>A person who does not fall within any of sub-paragraphs (a) to (j) of regulation 63(1) may not—</p>
</intro>
<level class="para1" eId="regulation-64-1-a">
<num>(a)</num>
<content>
<p>describe themselves (in whatever terms) as a person falling within any of those sub-paragraphs; or</p>
</content>
</level>
<level class="para1" eId="regulation-64-1-b">
<num>(b)</num>
<content>
<p>behave, or otherwise hold themselves out, in a manner which indicates (or which is reasonably likely to be understood as indicating) that they are such a person.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-64-2">
<num>(2)</num>
<content>
<p>A person who contravenes paragraph (1) is guilty of an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-65">
<heading>Defences</heading>
<num>65.</num>
<content>
<p>In proceedings for an offence under regulation 63 or 64 it is a defence for the accused to show that they took all reasonable precautions and exercised all due diligence to avoid committing the offence.</p>
</content>
</hcontainer>
<hcontainer name="regulation" eId="regulation-66">
<heading>Misleading the authority</heading>
<num>66.</num>
<paragraph eId="regulation-66-1">
<num>(1)</num>
<content>
<p>A person may not, in purported compliance with any requirement imposed by or under these Regulations, knowingly or recklessly give the Authority information which is false or misleading in any material particular.</p>
</content>
</paragraph>
<paragraph eId="regulation-66-2">
<num>(2)</num>
<intro>
<p>A person may not—</p>
</intro>
<level class="para1" eId="regulation-66-2-a">
<num>(a)</num>
<content>
<p>provide any information to another person, knowing the information to be false or misleading in a material particular; or</p>
</content>
</level>
<level class="para1" eId="regulation-66-2-b">
<num>(b)</num>
<content>
<p>recklessly provide to another person any information which is false or misleading in a material particular,</p>
</content>
</level>
<wrapUp>
<p>knowing that the information is to be used for the purpose of providing information to the Authority in connection with its functions under these Regulations.</p>
</wrapUp>
</paragraph>
<paragraph eId="regulation-66-3">
<num>(3)</num>
<intro>
<p>A person who contravenes paragraph (1) or (2) is guilty of an offence and is liable—</p>
</intro>
<level class="para1" eId="regulation-66-3-a">
<num>(a)</num>
<content>
<p>on summary conviction, to a fine not exceeding level 5 on the standard scale;</p>
</content>
</level>
<level class="para1" eId="regulation-66-3-b">
<num>(b)</num>
<content>
<p>on conviction on indictment, to a fine.</p>
</content>
</level>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-67">
<heading>Restriction on penalties</heading>
<num>67.</num>
<content>
<p>A person who is convicted of an offence under these Regulations is not liable to a penalty under regulation 51 in respect of the same contravention of a requirement imposed by or under these Regulations.</p>
</content>
</hcontainer>
<hcontainer name="regulation" eId="regulation-68">
<heading>Liability of officers of bodies corporate etc</heading>
<num>68.</num>
<paragraph eId="regulation-68-1">
<num>(1)</num>
<intro>
<p>If an offence under these Regulations committed by a body corporate is shown—</p>
</intro>
<level class="para1" eId="regulation-68-1-a">
<num>(a)</num>
<content>
<p>to have been committed with the consent or connivance of an officer; or</p>
</content>
</level>
<level class="para1" eId="regulation-68-1-b">
<num>(b)</num>
<content>
<p>to be attributable to any neglect on their part,</p>
</content>
</level>
<wrapUp>
<p>the officer as well as the body corporate is guilty of the offence and liable to be proceeded against and punished accordingly.</p>
</wrapUp>
</paragraph>
<paragraph eId="regulation-68-2">
<num>(2)</num>
<content>
<p>If the affairs of a body corporate are managed by its members, paragraph (1) applies in relation to the acts and defaults of a member in connection with such member's functions of management as if the member were a director of the body.</p>
</content>
</paragraph>
<paragraph eId="regulation-68-3">
<num>(3)</num>
<intro>
<p>If an offence under these Regulations committed by a partnership is shown—</p>
</intro>
<level class="para1" eId="regulation-68-3-a">
<num>(a)</num>
<content>
<p>to have been committed with the consent or connivance of a partner; or</p>
</content>
</level>
<level class="para1" eId="regulation-68-3-b">
<num>(b)</num>
<content>
<p>to be attributable to any neglect on their part,</p>
</content>
</level>
<wrapUp>
<p>the partner as well as the partnership is guilty of the offence and liable to be proceeded against and punished accordingly.</p>
</wrapUp>
</paragraph>
<paragraph eId="regulation-68-4">
<num>(4)</num>
<intro>
<p>If an offence under these Regulations committed by an unincorporated association (other than a partnership) is shown—</p>
</intro>
<level class="para1" eId="regulation-68-4-a">
<num>(a)</num>
<content>
<p>to have been committed with the consent or connivance of an officer; or</p>
</content>
</level>
<level class="para1" eId="regulation-68-4-b">
<num>(b)</num>
<content>
<p>to be attributable to any neglect of such officer,</p>
</content>
</level>
<wrapUp>
<p>the officer as well as the association is guilty of the offence and liable to be proceeded against and punished accordingly.</p>
</wrapUp>
</paragraph>
<paragraph eId="regulation-68-5">
<num>(5)</num>
<content>
<p>In this regulation—</p>
<blockList class="unordered none" ukl:Name="UnorderedList" ukl:Decoration="none">
<item>
<p>“officer”—</p>
<blockList class="ordered alpha parens" ukl:Name="OrderedList" ukl:Type="alpha" ukl:Decoration="parens">
<item>
<num>(a)</num>
<p>in relation to a body corporate, means a director, manager, secretary, chief executive, member of the committee of management, or a person purporting to act in that capacity; and</p>
</item>
<item>
<num>(b)</num>
<p>in relation to an unincorporated association, means any officer of the association or any member of its governing body, or a person purporting to act in such capacity;</p>
</item>
</blockList>
</item>
<item>
<p>
<term refersTo="#term-partner" eId="term-partner">partner</term>
” includes a person purporting to act as a partner.
</p>
</item>
</blockList>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-69">
<heading>Prosecution</heading>
<num>69.</num>
<paragraph eId="regulation-69-1">
<num>(1)</num>
<intro>
<p>Proceedings for an offence under these Regulations may be instituted only—</p>
</intro>
<level class="para1" eId="regulation-69-1-a">
<num>(a)</num>
<content>
<p>by the Authority; or</p>
</content>
</level>
<level class="para1" eId="regulation-69-1-b">
<num>(b)</num>
<content>
<p>by or with the consent of the Director of Public Prosecutions.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-69-2">
<num>(2)</num>
<content>
<p>Paragraph (1) does not apply to proceedings in Scotland.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-70">
<heading>Proceedings against unincorporated bodies</heading>
<num>70.</num>
<paragraph eId="regulation-70-1">
<num>(1)</num>
<content>
<p>Proceedings for an offence alleged to have been committed by a partnership or an unincorporated association must be brought in the name of the partnership or association (and not in that of its members).</p>
</content>
</paragraph>
<paragraph eId="regulation-70-2">
<num>(2)</num>
<content>
<p>A fine imposed on the partnership or association on its conviction of an offence is to be paid out of the funds of the partnership or association.</p>
</content>
</paragraph>
<paragraph eId="regulation-70-3">
<num>(3)</num>
<content>
<p>Rules of court relating to the service of documents are to have effect as if the partnership or association were a body corporate.</p>
</content>
</paragraph>
<paragraph eId="regulation-70-4">
<num>(4)</num>
<intro>
<p>In proceedings for an offence brought against the partnership or association—</p>
</intro>
<level class="para1" eId="regulation-70-4-a">
<num>(a)</num>
<content>
<p>
section 33 of the Criminal Justice Act 1925
<noteRef href="#c20674801" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
(procedure on charge of offence against corporation) and section 46 of, and Schedule 3 to, the Magistrates' Courts Act 1980
<noteRef href="#c20674811" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
(corporations) apply as they do in relation to a body corporate;
</p>
</content>
</level>
<level class="para1" eId="regulation-70-4-b">
<num>(b)</num>
<content>
<p>
section 70 (of the Criminal Procedure (Scotland) Act 1995
<noteRef href="#c20674821" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
(proceedings against bodies corporate) applies as it does in relation to a body corporate;
</p>
</content>
</level>
<level class="para1" eId="regulation-70-4-c">
<num>(c)</num>
<content>
<p>
section 18 of the Criminal Justice (Northern Ireland) Act 1945
<noteRef href="#c20674831" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
(procedure on charge) and Schedule 4 to the Magistrates' Courts (Northern Ireland) Order 1981
<noteRef href="#c20674841" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
(corporations) apply as they do in relation to a body corporate.
</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-70-5">
<num>(5)</num>
<intro>
<p>Summary proceedings for an offence under these Regulations may be taken—</p>
</intro>
<level class="para1" eId="regulation-70-5-a">
<num>(a)</num>
<content>
<p>against a body corporate or unincorporated association at any place at which it has a place of business;</p>
</content>
</level>
<level class="para1" eId="regulation-70-5-b">
<num>(b)</num>
<content>
<p>against an individual at any place where they are for the time being.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-70-6">
<num>(6)</num>
<content>
<p>Paragraph (5) does not affect any jurisdiction exercisable apart from this regulation.</p>
</content>
</paragraph>
</hcontainer>
</hcontainer>
</part>
</body>
</act>
</akomaNtoso>