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Part XVIII Recognised investment exchanges, clearing houses, CSDs and other parties (ss. 285-313)

Comparing proposed amendment...
Chapter I Exemption (ss. 285-301)
General (285-286)
In force
285. Exemption for recognised bodies etc.
Partly in force
285A. Powers exercisable in relation to recognised bodies etc
In force
286. Qualification for recognition
Applications for recognition (ss. 287-292)
In force
287. Application by an investment exchange
Omitted
287A. Application by an investment exchange: persons connected with an applicant
In force
288. Application by a clearing house
In force
288A. Application by a central securities depository
In force
289. Applications: supplementary
In force
290. Recognition orders
In force
290A. Refusal of recognition on ground of excessive regulatory provision
In force
290ZA. Variation of central counterparty recognition order
In force
290ZB. Variation of CSD recognition order
In force
291. Liability in relation to recognised body's regulatory functions
In force
292. Overseas investment exchanges and overseas clearing houses
Publication of information by recognised investment exchange (s. 292A)
In force
292A. Publication of information by recognised investment exchange
Supervision (ss. 293-300)
In force
293. Notification requirements
In force
293A. Information: compliance with specified requirements
In force
294. Modification or waiver of rules
In force
295. Notification: overseas investment exchanges and overseas clearing houses
In force
295A. On-site inspection of United Kingdom branches of third country CSDs
In force
296. Appropriate regulator's power to give directions
In force
296A. Additional power to direct recognised central counterparties
In force
297. Revoking recognition
In force
298. Directions and revocation: procedure
In force
299. Complaints about recognised bodies
In force
300. Extension of functions of Tribunal
Power to disallow excessive regulatory provision (ss. 300A-300H)
In force
300A. Power of appropriate regulator to disallow excessive regulatory provision
In force
300B. Duty to notify proposal to make regulatory provision
In force
300C. Restriction on making provision before appropriate regulator decides whether to act
In force
300D. Consideration by appropriate regulator whether to disallow proposed provision
In force
300E. Power to disallow excessive regulatory provision: supplementary
General rule-making powers (ss. 300F-300H)
In force
300F. Rules relating to central counterparties and central securities depositories
In force
300G. Section 300F: rules in relation to overseas FMI entities
In force
300H. Rules relating to investment exchanges and data reporting service providers
Bank of England rules (ss. 300I-300M)
In force
300I. Duty of Bank of England to review rules
In force
300J. Statement of policy relating to review of rules
In force
300K. Requirement to review specified rules
In force
300L. Report on certain reviews
In force
300M. Power of Treasury to require making of rules by regulations
Other matters (s. 301)
In force
301. Supervision of certain contracts
Chapter IA Control Over Recognised Investment Exchange (ss. 301A-301M)
Notices of acquisitions of control over recognised investment exchanges (ss. 301A-301C)
In force
301A. Obligation to notify the FCA: acquisitions of control
In force
301B. Requirements for section 301A notices
In force
301C. Acknowledgment of receipt
Acquiring and increasing control (ss. 301D-301E)
In force
301D. Acquiring and increasing control
In force
301E. Disregarded holdings
Assessment procedure (ss. 301F-301H)
In force
301F. Assessment: general
In force
301G. Assessment: Procedure
In force
301H. Duration of approval
Enforcement procedures (ss. 301I-301K)
In force
301I. Objections by the FCA
In force
301J. Restriction notices
In force
301K. Orders for sale of shares
Offences (s. 301L)
In force
301L. Offences under this Chapter
Interpretation (s. 301M)
In force
301M. Interpretation
Chapter II Competition Scrutiny (ss. 302-310)
Omitted
302. Interpretation
Role of Office of Fair Trading (ss. 303-305)
Omitted
303. Initial report by OFT
Omitted
304. Further reports by OFT
Omitted
305. Investigations by OFT
Role of Competition Commission (s. 306)
Omitted
306. Consideration by Competition Commission
Role of the Treasury (ss. 307-310)
Omitted
307. Recognition orders: role of the Treasury
Omitted
308. Directions by the Treasury
Omitted
309. Statements by the Treasury
Omitted
310. Procedure on exercise of certain powers by the Treasury
Chapter III Exclusion from the Competition Act 1998 (ss. 311-312)
Omitted
311. The Chapter I prohibition
Omitted
312. The Chapter II prohibition
Chapter IIIA Passport Rights (ss. 312A-312D)
EEA market operators in United Kingdom (ss. 312A-312B)
Omitted
312A. Exercise of passport rights by EEA market operator
Omitted
312B. Removal of passport rights from EEA market operator
Recognised investment exchanges operating in EEA States (other than the United Kingdom) (s. 312C)
Omitted
312C. Exercise of passport rights by recognised investment exchange
Interpretation (s. 312D)
Omitted
312D. Interpretation of Chapter IIIA
Chapter IIA Performance of Functions of Recognised Bodies (ss. 309A-309Z8)
Relevant recognised bodies (s. 309A)
Partly in force
309A. Recognised bodies to which this Chapter applies
Prohibition (ss. 309B-309F)
Partly in force
309B. Part 18 prohibition orders
Partly in force
309C. Procedure for making Part 18 prohibition orders
Partly in force
309D. Varying and withdrawing Part 18 prohibition orders
Partly in force
309E. Offence of breaching prohibition
Partly in force
309F. Duty in relation to prohibited individuals
Approval (s. 309G-309X)
Partly in force
309G. Requirement for approval
In force
309H. Rules under section 309G(3): transitional provision
Partly in force
309I. Applications for approval
Partly in force
309J. Vetting by relevant recognised bodies
Partly in force
309K. Determining applications: power to grant approval
Partly in force
309L. Determining applications: period for approval
Partly in force
309M. Determining applications: further procedure
Partly in force
309N. Changes in responsibilities
Partly in force
309O. Withdrawing approval
Partly in force
309P. Procedure for withdrawing approval
Partly in force
309Q. Varying approval at request of relevant recognised body
Partly in force
309R. Varying approval on the appropriate regulator's initiative
Partly in force
309S. Statement of policy on approval
Partly in force
309T. Breach of statutory duty by relevant recognised bodies
Partly in force
309U. Power to impose penalties
Partly in force
309V. Procedure for imposing penalties
Partly in force
309W. Statement of policy on penalties
Partly in force
309X. Procedure for statement of policy on penalties
Certification of employees (ss. 309Y-309Z)
Partly in force
309Y. Certification of employees by relevant recognised bodies
Partly in force
309Z. Issuing certificates
Rules of conduct (s. 309Z1)
Partly in force
309Z1. Rules of conduct
Disciplinary action by appropriate regulator (ss. 309Z2--309Z6)
Partly in force
309Z2. Power to take disciplinary action for misconduct
Partly in force
309Z3. Meaning of "misconduct"
Partly in force
309Z4. Procedure for disciplinary action
Partly in force
309Z5. Statement of policy about disciplinary action
Partly in force
309Z6. Procedure for statement of policy about disciplinary action
Interpretation (s. 309Z7)
Partly in force
309Z7. Interpretation of Chapter 2A
Application of this Chapter to credit rating agencies  (s. 309Z8)
In force
309Z8. Power to apply this Chapter to credit rating agencies
Chapter IIIB Disciplinary measures in respect of recognised bodies (ss. 312E-312K)
In force
312E. Public censure
In force
312F. Financial penalties
Partially deleted
312FA. Central securities depositories: further disciplinary measures
In force
312G. Proposal to take disciplinary measures
In force
312H. Decision notice
In force
312I. Publication
In force
312J. Statement of policy
In force
312K. Statement of policy: procedure
Chapter IIIC Critical third parties (ss. 312L-312W)
In force
312L. Critical third parties
In force
312M. Power to make rules
In force
312N. Power of direction
In force
312O. Directions: procedure
In force
312P. Information gathering and investigations
In force
312Q. Power of censure
In force
312R. Disciplinary measures
In force
312S. Procedure and right to refer to Tribunal
In force
312T. Statement of policy relating to disciplinary measures
In force
312U. Duty to ensure co-ordinated exercise of functions etc
In force
312V. Memorandum of understanding
In force
312W. Application of provisions of this Act to this Chapter
Chapter IV (s. 313)
Interpretation (s. 313)
Partly in force
313. Interpretation of Part XVIII