Skip to main content
Version status: Partly in force | Document consolidation status: Updated to reflect all known changes
Version date: 1 January 2025 - onwards
Version 21 of 21

Article 3 Qualifying provisions: disciplinary measures

(1) The instruments listed in paragraph (2) are specified qualifying provisions for the purposes of section 204A(2) of the Act.

(2) The instruments are -

(a) any directly applicable regulation made under the markets in financial instruments directive;

(aa) the markets in financial instruments regulation and any directly applicable EU regulation made under that regulation, except for Title VIII (Provision of services and performance of activities by third-country firms following an equivalence determination with or without a branch) and any directly applicable EU regulation made under that title;

(b) any directly applicable regulation made under the UCITS directive;

(ba) any directly applicable regulation made under the alternative investment fund managers directive;

(c) the emission allowance auctioning regulation;

(ca) the UK auctioning regulations;

(d) the European market infrastructure regulation;

(e) any directly applicable regulation made under the European market infrastructure regulation;