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Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 [SI 2019 No. 266]Introductory TextPart 1 General provision (regs. 1-2)Regulation 1 Citation and commencementRegulation 2 InterpretationPart 2 Rules and Guidance (regs. 3-6)Regulation 3 RulesRegulation 4 Rules: procedure, etc.Regulation 5 GuidanceRegulation 6 Guidance: procedure, etc.Part 3 Enforcement (regs. 7-14)Chapter 1 Penalties (regs. 7-9)Regulation 7 Financial penaltiesRegulation 8 Statement of policyRegulation 9 Statement of policy: procedureChapter 2 Public censure (reg. 10)Regulation 10 Public censureChapter 3 Financial penalties and public censure: procedure (regs. 11-13)Regulation 11 Warning noticeRegulation 12 Decision noticeRegulation 13 Duty on publication of statementChapter 4 Financial penalties: supplemental (reg. 14)Regulation 14 Deduction of enforcement costs, etc.Part 4 References and applications to a tribunal (regs. 15-17)Regulation 15 Right to refer a decision to the Upper TribunalRegulation 16 Hearings and appeals before the Upper TribunalRegulation 17 Application to a court for an injunctionPart 5 Information (reg. 18)Regulation 18 Information gathering and investigationsPart 6 Notices (regs. 19-20)Regulation 19 NoticesRegulation 20 Meaning of "consumer"Part 7 Offences (regs. 21-23)Regulation 21 Offence of misleading FCARegulation 22 Offences by bodies corporateRegulation 23 Proceedings for offencesPart 8 Transitional Provisions (regs. 24-49)Chapter 1 Advance applications (regs. 24-27)Regulation 24 Advance application for registration as a credit rating agencyRegulation 25 Assessment of whether an advance application is completeRegulation 26 Determination of an advance applicationRegulation 27 Effect of determining an advance applicationChapter 2 Temporary registration (regs. 28-32)Regulation 28 Temporary deemed registration under the CRA RegulationRegulation 29 Application of regulation 28Regulation 30 Conditions to be satisfied for regulation 28 to applyRegulation 31 Period during which regulation 28 is to applyRegulation 32 Cessation following a determination by the FCAChapter 3 Registration conversion (regs. 33-38)Regulation 33 Registration under the CRA RegulationRegulation 34 Application of regulation 33Regulation 35 Conditions to be satisfied for regulation 33 to applyRegulation 36 Notification for registrationRegulation 37 Acknowledgement of receiptRegulation 38 FCA's responseChapter 4 Certification conversion (regs. 39-44)Regulation 39 Certification under the CRA RegulationRegulation 40 Application of regulation 39Regulation 41 Condition to be satisfied for regulation 39 to applyRegulation 42 Notification for certificationRegulation 43 Acknowledgement of receiptRegulation 44 FCA's responseChapter 5 General provision (regs. 45-49)Regulation 45 Misleading the FCA: criminal offenceRegulation 46 Offences by bodies corporateRegulation 46A Further information to be suppliedRegulation 47 Duty to disclose informationRegulation 47A FCA power to require information from a person to whom this regulation appliesRegulation 48 DirectionsRegulation 49 Interpretation of Part 8Part 9 Amendment of subordinate legislation (reg. 50)Regulation 50 Amendment of the Credit Rating Agencies Regulations 2010Part 10 Amendment of retained direct EU legislation (regs. 51-102)Amendment of Regulation (EC) No 1060/2009 (regs. 51-100)Regulation 51Regulation 52Regulation 53Regulation 54Regulation 55Regulation 56Regulation 57Regulation 58Regulation 59Regulation 60Regulation 61Regulation 62Regulation 63Regulation 64Regulation 65Regulation 66Regulation 67Regulation 68Regulation 69Regulation 70Regulation 71Regulation 72Regulation 73Regulation 74Regulation 75Regulation 76Regulation 77Regulation 78Regulation 79Regulation 80Regulation 81Regulation 82Regulation 83Regulation 84Regulation 85Regulation 86Regulation 87Regulation 88Regulation 89Regulation 90Regulation 91Regulation 92Regulation 93Regulation 94Regulation 95Regulation 96Regulation 97Regulation 98Regulation 99Regulation 100Regulation 101 Revocation of Commission Delegated Regulation (EU) No. 272/2012Regulation 102 Revocation of Commission Delegated Regulation (EU) No. 946/2012SignatureExplanatory NoteExplanatory MemorandumImpact Assessment
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 31 December 2020 - onwards
Version 2 of 2

Regulation 78

In the heading to Chapter 2, for "ESMA", substitute "the FCA".

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