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Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 [SI 2001 No. 2188]Introductory TextPart I Preliminary (regs. 1-2)Regulation 1 Citation and CommencementRegulation 2 InterpretationPart II Disclosure of Confidential Information Generally (regs. 3-7)Regulation 3 Disclosure by and to the regulators, the Secretary of State and the Treasury etc.Regulation 4 Disclosure for the purposes of criminal proceedings and investigationsRegulation 5 Disclosure for the purposes of certain other proceedingsRegulation 6 Disclosure in pursuance of a Community obligationRegulation 7 Restrictions on use of confidential informationPart III Disclosure of specified confidential EU law information and UCITS Directive Information (regs. 8-10C and draft reg. 10D)Regulation 8 Application of this PartRegulation 9 Disclosure by regulators or regulator workers to certain other personsRegulation 10 Disclosure by Schedule 1 personRegulation 10A Disclosure of recovery and resolution informationRegulation 10B Assessment of effects of disclosureRegulation 10C Disclosure of capital requirements directive information to International Financial InstitutionsRegulation 10D Disclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakingsPart IV Disclosure of Confidential Information not Subject to retained EU law restrictions (regs. 11-18)Regulation 11 Application of this PartRegulation 12 Disclosure by and to a Schedule 1 or 2 person or disciplinary proceedings authorityRegulation 12A The Gambling CommissionRegulation 12B Electronic commerceRegulation 12C Proceedings under the Proceeds of Crime Act 2002Regulation 12D Disclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakingsChapter 1 Transitional Provisions Applicable Before IP Completion Day (regs. 13-17)Regulation 13 InterpretationRegulation 14 Disclosure of pre-commencement informationRegulation 15 Disclosure of transitional informationRegulation 16 Disclosure by recognised self-regulating organisationsRegulation 17 Investment services directive information: transitional provisionChapter 2 Transitional Provision Applicable on or after IP Completion Day (reg. 18)Regulation 18 Transitional provision applicable on or after IP Completion DaySchedule 1 Disclosure of Confidential Information whether or not Subject to retained EU law restrictionsSchedule 1, Part 1Schedule 1, Part 2Schedule 1, Part 3Schedule 1, Part 4Schedule 1, Part 5Schedule 1, Part 6Schedule 2 Disclosure of Confidential Information not Subject to retained EU law restrictionsSchedule 3 Prescribed Disciplinary ProceedingsSignatureExplanatory Note
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 31 December 2020 - onwards
Version 8 of 8

Schedule 1, Part 4

Regulations 9, 10 and 12

Person

Functions

An inspector appointed under Part XIV of the Companies Act 1985

His functions as such

A person authorised to exercise powers under section 447 of the Companies Act 1985 [Section 447 was amended by the Companies Act 1989, s. 63 and Sch. 24, and by the Youth Justice and Criminal Evidence Act 1999 (c. 23), Sch. 3, paras. 4 and 6.]

His functions as such

A person authorised under section 84 of the Companies Act 1989 to exercise on behalf of the Secretary of State powers conferred by section 83 of that Act [Section 83 was amended by the Youth Justice and Criminal Evidence Act 1999, Sch. 3, para. 21.]

His functions as such

The Department for the Economy in Northern Ireland

(a) Its functions under Part XV of the Companies (Northern Ireland) Order 1986 [S.I. 1986/1032 (N.I. 6).] (investigation of companies and their affairs; requisition of documents)

(b) Its functions under Part III of the Companies (Northern Ireland) Order 1990 (eligibility for appointment as company auditor)

(c) Its functions under the Companies (Northern Ireland) Order 1989 [S.I. 1989/2404 (N.I. 18).] (disqualification of company directors)

A recognised clearing house (other than an overseas clearing house, or a third country central counterparty (within the meaning of section 285(1)(d) of the Act))

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