Data Reporting Services Regulations 2017 [SI 2017 No. 699]

Comparing proposed amendment...


	Introductory Text
	Part 1 Introductory Provisions (regs. 1-4)
Revoked	Regulation 1 Citation and commencement
Revoked	Regulation 2 Interpretation
Revoked	Regulation 2A References to EU Regulations etc
Revoked	Regulation 3 CTP definition and conditions
Revoked	Regulation 4 Retained EU law
	Part 2 Authorisation of Data Reporting Services (regs. 5-12C)
Revoked	Regulation 5 Prohibition on provision of data reporting service
Revoked	Regulation 6 Register of data reporting service providers
Revoked	Regulation 7 Application for authorisation to provide a data reporting service
Revoked	Regulation 8 Application for verification of compliance with Title V of the markets in financial instruments directive
Revoked	Regulation 9 Conditions for authorisation to provide a data reporting service
Revoked	Regulation 10 Determination of an application for authorisation to provide a data reporting service
Revoked	Regulation 11 Cancellation of an authorisation to provide a data reporting service
Revoked	Regulation 12 Variation of an authorisation to provide data reporting services
Revoked	Regulation 12A Deemed authorisation to provide a data reporting service
Revoked	Regulation 12B Regulator response
Revoked	Regulation 12C Period during which regulation 12A is to apply
	Part 3 Operating Requirements (regs. 13-16)
Revoked	Regulation 13 Requirements for the management body of a data reporting service provider
Revoked	Regulation 14 Conditions for an APA
Revoked	Regulation 15 Conditions for a CTP
Revoked	Regulation 16 Conditions for an ARM
	Part 4 Administration and enforcement (regs. 17-43)
	Chapter 1 The FCA (regs. 17-31)
	Functions of the FCA (regs. 17-21)
Revoked	Regulation 17 Functions of the FCA
Revoked	Regulation 18 Monitoring and enforcement
Revoked	Regulation 19 Co-operation and consultation
Revoked	Regulation 20 Guidance
Revoked	Regulation 21 Reporting requirements
	Restrictions on authorisation (reg. 22)
Revoked	Regulation 22 Restrictions on authorisation to carry on data reporting services
	Administrative sanctions (regs. 23-28)
Revoked	Regulation 23 Public censure
Revoked	Regulation 24 Financial penalties
Revoked	Regulation 25 Warning notice
Revoked	Regulation 26 Decision notice
Revoked	Regulation 27 Statements of policy
Revoked	Regulation 28 Statements of policy: procedure
	Offences (regs. 29-31)
Revoked	Regulation 29 Misleading the FCA
Revoked	Regulation 30 Breach of the prohibition on provision of data reporting service
Revoked	Regulation 31 Restriction on penalties
	Chapter 2 Application of the Act for the purposes of the Regulations (regs. 32-40)
Revoked	Regulation 32 Application of Part 9 of the Act (hearings and appeals)
Revoked	Regulation 33 Application of Part 11 of the Act (information gathering and investigations)
Revoked	Regulation 34 Information given by an auditor
Revoked	Regulation 35 Restrictions on disclosure of information
Revoked	Regulation 36 Application of Part 25 of the Act (injunctions and restitution)
Revoked	Regulation 37 Application of Part 26 of the Act (notices)
Revoked	Regulation 38 Application of Part 27 of the Act (offences)
Revoked	Regulation 39 Application of section 413 of the Act (protected items)
Revoked	Regulation 40 FCA: penalties, fees and exemption from liability in damages
	Chapter 3 Application of secondary legislation for the purposes of the Regulations (regs. 41-43)
Revoked	Regulation 41 Service of notices
Revoked	Regulation 42 Disclosure of confidential information
Revoked	Regulation 43 Communications by auditors
	Part 5 Miscellaneous (regs. 44-48)
Revoked	Regulation 44 Record keeping
Revoked	Regulation 45 Reporting of infringements
Omitted	Regulation 46 Application to Gibraltar
Revoked	Regulation 47 Applications for authorisation and verification: CTP definition and conditions
Revoked	Regulation 48 Review
	Signature
	Explanatory Note
	Explanatory Memorandum
	Impact Assessment

Page overview

Document overview

Set a date to view the document

Text comparison

Print / Export Options

Export

Report template

Alert me to changes

Bookmarks

Search within this document

Data Reporting Services Regulations 2017 [SI 2017 No. 699]

Request a trial

The best way to experience Better Regulation is to try it - free and without obligation.

Set a date to view the document

Text comparison

Print / Export Options

Export

Report template

Alert me to changes

Bookmarks

Search within this document

Share

Data Reporting Services Regulations 2017 [SI 2017 No. 699]

Log in

Request a trial

The best way to experience Better Regulation is to try it - free and without obligation.