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  1. Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 [SI 2016 No. 715]
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 7 July 2016

Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016 [SI 2016 No. 715]

Consolidation Status: Updated to reflect all known changes

To be revoked by s. 1 and Sch. 1 Pt 2 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 2 not yet fully commenced.

Comparing proposed amendment...
Introductory Text
Part 1 Citation, commencement and interpretation (regs. 1-2)
In force
 Regulation 1 Citation and commencement
In force
 Regulation 2 Interpretation
Part 2 Designation of competent authorities (reg. 3)
In force
 Regulation 3 Designation of competent authorities
Part 3 Administration and enforcement (regs. 4-27)
Chapter 1 Interpretation (reg. 4)
In force
 Regulation 4 Meaning of "non-authorised counterparty"
Chapter 2 Information gathering (regs. 5-7)
In force
 Regulation 5 Power of the FCA to require information
In force
 Regulation 6 Reports by skilled persons
In force
 Regulation 7 Information and documents: supplemental provisions
Chapter 3 Supervisory measures (regs. 8-10)
In force
 Regulation 8 Guidance
In force
 Regulation 9 Directions
In force
 Regulation 10 Directions: procedure
Chapter 4 Measures in relation to individuals (regs. 11-13)
In force
 Regulation 11 Temporary prohibition orders
In force
 Regulation 12 Temporary prohibition orders: procedure
In force
 Regulation 13 Contravention of a temporary prohibition order by a recognised body
Chapter 5 Disciplinary measures (regs. 14-15)
In force
 Regulation 14 Public censure
In force
 Regulation 15 Financial penalties
Chapter 6 Notices and appeals (regs. 16-22)
In force
 Regulation 16 Meaning of "regulator"
In force
 Regulation 17 Warning notices
In force
 Regulation 18 Decision notices
In force
 Regulation 19 Application of Part 26 of the Act
In force
 Regulation 20 Service of notices
In force
 Regulation 21 Appeals
In force
 Regulation 22 The Tribunal
Chapter 7 Injunctions (reg. 23)
In force
 Regulation 23 Injunctions
Chapter 8 Offences (regs. 24-27)
In force
 Regulation 24 Misleading the FCA
In force
 Regulation 25 Restriction on penalties
In force
 Regulation 26 Proceedings for offences
In force
 Regulation 27 Proceedings against unincorporated bodies
Part 4 Review (reg. 28)
In force
 Regulation 28 Review
Part 5 Amendments (regs. 29-30)
In force
 Regulation 29
In force
 Regulation 30
In force
 Schedule 1 Amendments to primary legislation
In force
 Schedule 2 Amendments to secondary legislation
Signature
Explanatory Note
Explanatory Memorandum
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