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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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Power of the FCA to require information
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5.—(1) This regulation applies where—
(a)it is necessary for the FCA to determine whether a person is subject to an SFTR requirement; or
(b)the FCA requires information or documents from a non-authorised counterparty in connection with the exercise of its functions under the SFT regulation or these Regulations.
(2) The FCA may, by notice in writing, require a non-authorised counterparty or any other person—
(a)to provide specified information or information of a specified description; or
(b)to produce specified documents or documents of a specified description.
(3) The information or documents must be provided or produced—
(a)before the end of such reasonable period as may be specified; and
(b)at such place as may be specified.
(4) The FCA may require any information provided under this regulation to be provided in such a form as it may reasonably require.
(5) The FCA may require—
(a)any information provided, whether in a document or otherwise, to be verified in such a manner; or
(b)any document produced to be authenticated in such a manner,
as it may reasonably require.
(6) In this regulation “specified” means specified in the notice.
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