PART 3Amendments to Commission Regulation (EU) No 389/2013

Amendments to the Annexes to the Registries Regulation 2013

10.—(1) The Annexes to the Registries Regulation 2013 are amended as follows.

(2) Omit Annex 1.

(3) In Annex 3—

(a)in the heading, for “Articles 13, 14 and 19” substitute “Article 13”;

(b)in Table 3-1—

(i)in the heading to column E, for “administrator” substitute “national administrator”;

(ii)omit “Union” in item numbers 1 and 4 of column A;

(iii)omit column F.

(4) In Annex 4—

(a)for the heading (Information to be provided for opening an auction delivery account, a person holding account, a trading accounts or an external trading platform accounts (Articles 15, 18 and 20)) substitute—

Information to be provided for opening a person holding account (Article 18);

(b)in point 2, after “a Member State of the European Economic Area” insert “or the United Kingdom”;

(c)in point 4(d), for “Member State of the administrator of the account” substitute “United Kingdom”;

(d)in point 5(d), for “Directive 2005/60/EC” substitute “regulation 3 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017”;

(e)in point 7, for “The criminal” substitute “Any criminal”;

(f)in point 8, for “Member State requesting a copy” substitute “United Kingdom”;

(g)in point 9—

(i)for “administrator of the account” substitute “national administrator”;

(ii)for “the administrator” substitute “the national administrator”;

(h)in point 10, for “administrator of the account” substitute “national administrator”.

(5) Omit Annexes 5 to 7.

(6) In Annex 8—

(a)in the heading—

(i)omit “and additional authorised representatives”;

(ii)for “administrator of the account” substitute “national administrator”;

(b)in table 8-1—

(i)in the heading to column E, for “administrator” substitute “national administrator”;

(ii)omit column F;

(iii)omit row 22;

(c)in point 2—

(i)omit “or additional authorised representative”;

(ii)omit “that additional authorised representative has the right to”;

(d)in point 4(d), for “Member State of the administrator of the account” substitute “United Kingdom”;

(e)in point 5, for “Criminal” substitute “Any criminal”;

(f)in point 6, for “Member State requesting a copy” substitute “United Kingdom”;

(g)in point 7 and 8, for “administrator of the account” substitute “national administrator”.

(7) After Annex 8 insert—

ANNEX 8aNotices (Article 110e)

1.  In this Annex, “notice” means any notice served by the national administrator under this Regulation.

2.  A notice must be in writing.

3.  A notice may be served on a person (“P”) by—

(a)delivering it to P in person;

(b)sending it to a postal or email address provided by P for the purpose of service of notices;

(c)leaving it at P’s proper address; or

(d)sending it by post or electronic means to P’s proper address.

4.  In the case of a body corporate, a notice may also be served on the secretary or clerk of that body.

5.  In the case of a partnership, a notice may also be served on a partner or a person having control or management of the partnership business.

6.  If a person (“Q”) to be served with a notice has specified an address in the United Kingdom (other than Q’s proper address) at which Q or someone on Q’s behalf will accept notices of that description, that address must instead be treated as Q’s proper address.

7.  For the purposes of this Annex, “proper address” means, subject to paragraph 6—

(a)in the case of a body corporate or its secretary or clerk—

(i)the registered or principal office of that body, or

(ii)the email address of the secretary or clerk;

(b)in the case of a partnership or a partner or person having control or management of the partnership business—

(i)the principal office of the partnership, or

(ii)the email address (or, in the case of a partnership established outside the United Kingdom, the last known address) of a partner or a person having that control or management;

(c)in any other case, a person’s last known address (which for the purpose of this point and point (b) includes an email address).

8.  For the purposes of paragraph 7, where a body corporate registered outside the United Kingdom or a partnership established outside the United Kingdom has an office in the United Kingdom, the principal office of that body corporate or partnership is its principal office in the United Kingdom..

(8) Omit Annexes 9 to 14.