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Version status: Partly in force | Document consolidation status: Updated to reflect all known changes
Version date: 30 January 2024 - onwards
  Version 14 of 14    

398. Misleading FCA or PRA: residual cases

(1) A person who, in purported compliance with any requirement falling within subsection (1A) knowingly or recklessly gives a regulator information which is false or misleading in a material particular is guilty of an offence.

(1A) A requirement falls within this subsection if it is imposed by or under -

(a) this Act;

(b) the Alternative Investment Fund Managers Regulations 2013;

(ba) the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701);

(c) the short selling regulation;

(d) Regulation (EU) No 345/2013 of the European Parliament and the Council of 17 April 2013 on European venture capital funds [OJ L 115, 25.4.2013, p.1.];

(e) Regulation (EU) No 346/2013 of the European Parliament and the Council of 17 April 2013 on European social entrepreneurship funds [OJ L 115, 25.4.2013, p.18.];

(ea) any EU regulation, originally made under the markets in financial instruments directive, which is assimilated direct legislation;

(eb) any of

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