Version status: In force | Document consolidation status: Updated to reflect all known changes

Published date: 6 March 2013

Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 [SI 2013 No. 504]

	Introductory Text
	Part 1 Citation, commencement and interpretation (regs. 1-2)
	Regulation 1 Citation and commencement
	Regulation 2 Interpretation
	Part 2 Amendments to the Financial Services and Markets Act 2000 (reg. 3)
	Regulation 3 Amendments to the Financial Services and Markets Act 2000
	Part 3 Amendments to the Companies Act 1989 (reg. 4)
	Regulation 4 Amendments to the Companies Act 1989
	Part 4 Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001 (reg. 5)
	Regulation 5 Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
	Part 5 Designation of competent authorities and powers of FCA (regs. 6-10)
	Regulation 6 Designation of competent authorities
	Regulation 7 Power of the FCA to require information
	Regulation 8 Applications, notifications and reports to FCA
	Regulation 9 Penalties and statements
	Regulation 10 Penalties under regulation 9: procedure
	Part 6 Acquisition of control over recognised central counterparties (regs. 11-15)
	Regulation 11 Interpretation of Part 6
	Regulation 12 Procedure in relation to proposed acquisition
	Regulation 13 Restriction notices
	Regulation 14 Orders for sale of shares
	Regulation 15 Offences
	Part 6A Removal of directors of recognised central counterparties (reg. 15A)
	Regulation 15A Removal of directors of recognised central counterparties
	Part 7 Investigatory powers of ESMA with regard to trade repositories (regs. 15B-19)
	Regulation 15B Interpretation
	Regulation 16 Records of telephone and data traffic: Article 62(1)(e) of the EMIR regulation
	Regulation 17 Inspections: Article 63 of the EMIR regulation
	Regulation 18 Retention of documents taken under regulation 17
	Regulation 19 Offences: Article 63 inspections
	Part 8 Consequential amendments (regs. 20-49)
	Regulation 20 Amendments to the Finance Act 1991
	Regulation 21 Amendment to the Pension Schemes Act 1993
	Regulation 22 Amendment to the Pension Schemes (Northern Ireland) Act 1993
	Regulation 23 Amendments to the Pensions Act 2004
	Regulation 24 Amendments to the Income Tax Act 2007
	Regulation 25 Amendments to the Banking Act 2009
	Regulation 26 Amendments to the Corporation Tax Act 2009
	Regulation 27 Amendment to the European Communities (Enforcement of Community Judgments) Order 1972
	Regulation 28 Amendment to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
	Regulation 29 Amendments to the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979
	Regulation 30 Amendments to the Financial Markets and Insolvency Regulations 1991
	Regulation 31 Amendments to the Income Tax (Manufactured Overseas Dividends) Regulations 1993
	Regulation 32 Amendments to the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
	Regulation 33 Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
	Regulation 34 Amendment to the Financial Services and Markets Act 2000 (Exemption) Order 2001
	Regulation 35 Amendments to the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
	Regulation 36 Amendments to the Uncertificated Securities Regulations 2001
	Regulation 37 Amendment to the Pension Protection Fund (PPF Ombudsman) Order (Northern Ireland) 2005
	Regulation 38 Amendment to the Pension Protection Fund (PPF Ombudsman) Order 2005
	Regulation 39 Amendment to the Financial Assistance Scheme (Appeals) Regulations 2005
	Regulation 40 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No.9) 2009
	Regulation 41 Amendments to the Investment Bank Special Administration Regulations 2011
	Regulation 42 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Eurex Clearing AG) Regulations 2011
	Regulation 43 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Central Counterparty Limited) Regulations 2011
	Regulation 44 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Multilateral Clearing Facility N.V.) Regulations 2011
	Regulation 45 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (LCH.Clearnet Limited) Regulations 2011
	Regulation 46 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (SIX X-CLEAR AG) Regulations 2011
	Regulation 47 Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Cassa Di Compensazione E Garanzia S.p.A.) Regulations 2011
	Regulation 48 Amendments to the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013
	Regulation 49 Amendment to the Payment to Treasury of Penalties (Enforcement Costs) Order 2013
	Part 9 Transitional and saving provisions (regs. 50-55)
	Regulation 50 Interpretation of Part 10
	Regulation 51 Information provided to or requested by FSA
	Regulation 52 Transitional and saving provisions: central counterparties
	Regulation 53 Further transitional provisions: EEA and third country central counterparties
	Regulation 54 Transitional and saving provisions: overseas persons
	Regulation 55 Transitional and saving provisions: designation orders under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
	Regulation 55A Transitional provisions: markets in financial instruments provisions
	Regulation 55B Transitional provision: EMIR regulation
	Part 10 Miscellaneous (regs. 56-60)
	Regulation 56 Warning notices and decision notices
	Regulation 57 Offences
	Regulation 58 References to the Tribunal
	Regulation 59 Scotland
	Regulation 60 Review
	Schedule - Section 191 of the Companies Act 1989: index of defined expressions
	Signature
	Explanatory Note
	Explanatory Memorandum