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Data Reporting Services Regulations 2017 [SI 2017 No. 699]Introductory TextPart 1 Introductory Provisions (regs. 1-4)Regulation 1 Citation and commencementRegulation 2 InterpretationRegulation 2A References to EU Regulations etcRegulation 3 CTP definition and conditionsRegulation 4 Retained EU lawPart 2 Authorisation of Data Reporting Services (regs. 5-12C)Regulation 5 Prohibition on provision of data reporting serviceRegulation 6 Register of data reporting service providersRegulation 7 Application for authorisation to provide a data reporting serviceRegulation 8 Application for verification of compliance with Title V of the markets in financial instruments directiveRegulation 9 Conditions for authorisation to provide a data reporting serviceRegulation 10 Determination of an application for authorisation to provide a data reporting serviceRegulation 11 Cancellation of an authorisation to provide a data reporting serviceRegulation 12 Variation of an authorisation to provide data reporting servicesRegulation 12A Deemed authorisation to provide a data reporting serviceRegulation 12B Regulator responseRegulation 12C Period during which regulation 12A is to applyPart 3 Operating Requirements (regs. 13-16)Regulation 13 Requirements for the management body of a data reporting service providerRegulation 14 Conditions for an APARegulation 15 Conditions for a CTPRegulation 16 Conditions for an ARMPart 4 Administration and enforcement (regs. 17-43)Chapter 1 The FCA (regs. 17-31)Functions of the FCA (regs. 17-21)Regulation 17 Functions of the FCARegulation 18 Monitoring and enforcementRegulation 19 Co-operation and consultationRegulation 20 GuidanceRegulation 21 Reporting requirementsRestrictions on authorisation (reg. 22)Regulation 22 Restrictions on authorisation to carry on data reporting servicesAdministrative sanctions (regs. 23-28)Regulation 23 Public censureRegulation 24 Financial penaltiesRegulation 25 Warning noticeRegulation 26 Decision noticeRegulation 27 Statements of policyRegulation 28 Statements of policy: procedureOffences (regs. 29-31)Regulation 29 Misleading the FCARegulation 30 Breach of the prohibition on provision of data reporting serviceRegulation 31 Restriction on penaltiesChapter 2 Application of the Act for the purposes of the Regulations (regs. 32-40)Regulation 32 Application of Part 9 of the Act (hearings and appeals)Regulation 33 Application of Part 11 of the Act (information gathering and investigations)Regulation 34 Information given by an auditorRegulation 35 Restrictions on disclosure of informationRegulation 36 Application of Part 25 of the Act (injunctions and restitution)Regulation 37 Application of Part 26 of the Act (notices)Regulation 38 Application of Part 27 of the Act (offences)Regulation 39 Application of section 413 of the Act (protected items)Regulation 40 FCA: penalties, fees and exemption from liability in damagesChapter 3 Application of secondary legislation for the purposes of the Regulations (regs. 41-43)Regulation 41 Service of noticesRegulation 42 Disclosure of confidential informationRegulation 43 Communications by auditorsPart 5 Miscellaneous (regs. 44-48)Regulation 44 Record keepingRegulation 45 Reporting of infringementsRegulation 46 Application to GibraltarRegulation 47 Applications for authorisation and verification: CTP definition and conditionsRegulation 48 ReviewSignatureExplanatory NoteExplanatory MemorandumImpact Assessment
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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 5 April 2024 - onwards
Version 4 of 4

Regulation 40 FCA: penalties, fees and exemption from liability in damages

Revoked from 5 April 2024

[deleted]

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