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The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016
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- UK Statutory Instruments
- 2016 No. 715
- PART 3
- CHAPTER 4
- Regulation 13
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Contravention of a temporary prohibition order by a recognised body
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13. Section 312E (public censure), 312F (financial penalties), 312G (proposal to take disciplinary measures), 312H (decision notice) and 312I(1) (publication) of the Act apply in relation to the contravention by a recognised body of a requirement under regulation 11(4) as they apply in relation to the contravention by a recognised body of a relevant requirement, but with—
(a)references to the appropriate regulator being read to refer to—
(i)the Bank, where the recognised body is a recognised central counterparty;
(ii)the FCA, where the recognised body is any other financial or non-financial counterparty;
(b)in sub-paragraph (b) of section 312I, the reference to section 393(4) being read to refer to regulation 19.
(1)
Section 312E, 312F, 312G, 312H and 312I were inserted by the Financial Services Act 2012, section 33.
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