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Proxy Advisors (Shareholders' Rights) Regulations 2019 [SI 2019 No. 926]Introductory textPart 1 General (regs. 1-2)Regulation 1 Citation and commencementRegulation 2 InterpretationPart 2 Transparency requirements in relation to proxy advisors (regs. 3-6)Regulation 3 Code of conduct of proxy advisorsRegulation 4 Information giving assurance about the accuracy and reliability of adviceRegulation 5 Conflicts of interestRegulation 6 Obligation to collect and update informationPart 3 Functions of the FCA in relation to proxy advisors (regs. 7-19)Regulation 7 Interpretation of PartRegulation 8 Functions of the FCARegulation 9 Notice of inability or failure to comply with a relevant requirementRegulation 10 ComplaintsRegulation 11 Public censureRegulation 12 Financial penaltiesRegulation 13 Warning noticeRegulation 14 Decision noticeRegulation 15 Matters to which FCA must have regard in relation to imposition of penaltiesRegulation 16 Statement of policy on imposition of penaltiesRegulation 17 Statement of policy on imposition of penalties: procedureRegulation 18 Misleading the FCARegulation 19 Restriction on penaltiesPart 4 Application of provisions of the Act for the purposes of Part 3 (regs. 20-28)Regulation 20 General provisionRegulation 21 Hearings and appealsRegulation 22 Application of Part 11 of the ActRegulation 23 Information given by an auditorRegulation 24 Restrictions on disclosure of informationRegulation 25 Application of Part 25 of the ActRegulation 26 Application of Part 26 of the ActRegulation 27 Application of Part 27 of the ActRegulation 28 Application of Schedule 1ZA to the Act: penalties, fees and exemption from liability in damagesPart 5 Application of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 (reg. 29)Regulation 29 Permitted disclosure of confidential informationPart 6 Public list of proxy advisors (regs. 30-32)Regulation 30 InterpretationRegulation 31 Public list of proxy advisorsRegulation 32 Removal of a proxy advisor from the public listSignatureExplanatory NoteExplanatory MemorandumImpact Assesment
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 13 May 2019

Proxy Advisors (Shareholders' Rights) Regulations 2019 [SI 2019 No. 926]

To be revoked by s. 1 and Sch. 1 Pt 2 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 2 not yet fully commenced.

Introductory text
Part 1 General (regs. 1-2)
Regulation 1 Citation and commencement
Regulation 2 Interpretation
Part 2 Transparency requirements in relation to proxy advisors (regs. 3-6)
Regulation 3 Code of conduct of proxy advisors
Regulation 4 Information giving assurance about the accuracy and reliability of advice
Regulation 5 Conflicts of interest
Regulation 6 Obligation to collect and update information
Part 3 Functions of the FCA in relation to proxy advisors (regs. 7-19)
Regulation 7 Interpretation of Part
Regulation 8 Functions of the FCA
Regulation 9 Notice of inability or failure to comply with a relevant requirement
Regulation 10 Complaints
Regulation 11 Public censure
Regulation 12 Financial penalties
Regulation 13 Warning notice
Regulation 14 Decision notice
Regulation 15 Matters to which FCA must have regard in relation to imposition of penalties
Regulation 16 Statement of policy on imposition of penalties
Regulation 17 Statement of policy on imposition of penalties: procedure
Regulation 18 Misleading the FCA
Regulation 19 Restriction on penalties
Part 4 Application of provisions of the Act for the purposes of Part 3 (regs. 20-28)
Regulation 20 General provision
Regulation 21 Hearings and appeals
Regulation 22 Application of Part 11 of the Act
Regulation 23 Information given by an auditor
Regulation 24 Restrictions on disclosure of information
Regulation 25 Application of Part 25 of the Act
Regulation 26 Application of Part 26 of the Act
Regulation 27 Application of Part 27 of the Act
Regulation 28 Application of Schedule 1ZA to the Act: penalties, fees and exemption from liability in damages
Part 5 Application of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 (reg. 29)
Regulation 29 Permitted disclosure of confidential information
Part 6 Public list of proxy advisors (regs. 30-32)
Regulation 30 Interpretation
Regulation 31 Public list of proxy advisors
Regulation 32 Removal of a proxy advisor from the public list
Signature
Explanatory Note
Explanatory Memorandum
Impact Assesment
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