Date-stamp loading
Version status: Omitted | Document consolidation status: Updated to reflect all known changes
Version date: 31 December 2020 - onwards
  Version 3 of 3    

Regulation 28A Cooperation with ESMA and other competent authorities in respect of interventions to restrict, reduce, or limit positions

Omitted from 31 December 2020

(1) The FCA must notify ESMA and all the competent authorities of the other EEA States of the details of any limitation, restriction, or requirement it imposes under regulation 28(1).

(2) The notification under paragraph (1) must include, where relevant -

(a) the details of any requirement imposed by the FCA under regulation 27(1) or (2) ("information requirement") that relates to the limitation, restriction or requirement imposed under regulation 28(1) including -

(i) the identity of the person subject to the information requirement; and

(ii) the FCA's reasons for imposing the information requirement.

(b) if the notification concerns a limitation or restriction imposed under regulation 28(1)(a) or (b) -

(i) the person the limitation or restriction concerns;

(ii) the financial instrument the limitation or restriction applies to;

(iii) any limit under the limitation or restriction on the size of a position a person can hold at all times;

(iv) any exemption provided for in the limit

Comparing proposed amendment...