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  1. Uncertificated Securities Regulations 2001 [SI 2001 No. 3755]
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 23 November 2001

Uncertificated Securities Regulations 2001 [SI 2001 No. 3755]

Consolidation Status: Updated to reflect all known changes
Comparing proposed amendment...
Introductory Text
Part 1 Citation, commencement, and interpretation (regs. 1-3)
In force
 Regulation 1 Citation and commencement
In force
 Regulation 2 Purposes and basic definition
In force
 Regulation 3 Interpretation
Part 2 The Operator (regs. 4-13)
Approval and compliance (regs. 4-6)
Omitted
 Regulation 4 Applications for approval
In force
 Regulation 5 Operating conditions for relevant system
In force
 Regulation 6 Fees charged by the Bank of England
Supervision (regs. 7-13)
Omitted
 Regulation 7 Withdrawal of approval
In force
 Regulation 8 Compliance orders and directions
In force
 Regulation 9 Injunctions and restitution orders
In force
 Regulation 10 Provision of information by Operators
Deleted
 Regulation 11 Delegation of Treasury functions
In force
 Regulation 11A Reports by skilled persons
In force
 Regulation 11B Appointment of persons to carry out general investigations etc.
Omitted
 Regulation 12 International obligations
Omitted
 Regulation 13 Prevention of excessive regulatory provision
Part 3 Participating securities (regs. 14-34)
Participation by issuers (regs. 14-19)
Participation in respect of shares (regs. 14-17)
In force
 Regulation 14
In force
 Regulation 15
In force
 Regulation 16
In force
 Regulation 17
In force
 Regulation 18 Interpretation of regulations 15, 16 and 17
In force
 Regulation 19 Participation in respect of securities other than shares
Keeping of registers and records (regs. 20-31)
In force
 Regulation 20 Entries on registers and records in respect of shares
In force
 Regulation 21 Entries on registers and records in respect of public sector securities
In force
 Regulation 22 Entries on registers and records in respect of other securities
In force
 Regulation 23 General provisions concerning keeping registers and records
In force
 Regulation 24 Effect of entries on registers
In force
 Regulation 25 Rectification of registers of securities
In force
 Regulation 26 Closing registers
In force
 Regulation 27 Registration by an Operator of transfers of securities
In force
 Regulation 28 Registration by a participating issuer of transfers of securities upon conversion into certificated form
In force
 Regulation 29 Registration to be in accordance with regulations 27 and 28
In force
 Regulation 30 Registration of linked transfers
In force
 Regulation 31 Position of a transferee prior to entry on an issuer register of securities
Conversions and new issues (regs. 32-34)
In force
 Regulation 32 Conversion of securities into certificated form
In force
 Regulation 33 Conversion of securities into uncertificated form
In force
 Regulation 34 New issues in uncertificated form
Part 4 Dematerialised instructions etc. (regs. 35-36)
In force
 Regulation 35 Properly authenticated dematerialised instructions, etc.
In force
 Regulation 36 Liability for forged dematerialised instructions, induced amendments to Operator registers of securities, and induced Operator-instructions
Part 5 Miscellaneous and supplemental (regs. 37-52)
Miscellaneous (regs. 37-45)
In force
 Regulation 37 Construction of references to transfers etc.
In force
 Regulation 38 Certain formalities and requirements not to apply
In force
 Regulation 39 Fees charged by Operators
In force
 Regulation 40 Trusts, trustees and personal representatives etc.
In force
 Regulation 41 Notices of meetings etc.
In force
 Regulation 42 Notices to minority shareholders
In force
 Regulation 43 Irrevocable powers of attorney
In force
 Regulation 44 Actual notice
In force
 Regulation 45 Participating securities issued in uncertificated form
Defaults and contraventions (regs. 46-48)
In force
 Regulation 46 Breaches of statutory duty
In force
 Regulation 47 Liability of officers for contraventions
In force
 Regulation 48 Exemption from liability
Northern Ireland (reg. 49)
In force
 Regulation 49 Application to Northern Ireland
Transitory provisions, amendments and revocations (regs. 50-52)
In force
 Regulation 50 Transitory provisions
In force
 Regulation 51 Minor and consequential amendments
In force
 Regulation 52 Revocations
In force
 Schedule 1 Requirements for operation of a relevant system
Omitted
 Schedule 2 Prevention of excessive regulatory provision
In force
 Schedule 3 Procedure for giving directions
In force
 Schedule 4 Keeping of registers and records of participating securities
Omitted
 Schedule 5 Adaptations in respect of Northern Ireland
In force
 Schedule 6 Transitory Provisions
Schedule 7 Minor and consequential amendments
In force
 Schedule 7, Part 1 Primary Legislation (paras. 1-13)
In force
 Schedule 7, Part 2 Subordinate Legislation (paras. 14-24)
Signature
Explanatory Note
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