icon-grid
Better Regulation logo
Table of Contents

Table of Contents

Expand all headings Collapse all headings Expand side bar Collapse side bar
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
Page Overview
Document Overview
Tools
Set a date to view the document
Text comparison options
Full text - Date 1 vs Date 2
Amendments requiring commencement - Current text vs Text requiring commencement
Draft proposed changes - Current text vs Text proposed by drafting documents
Coming soon: Any documents - Any document vs Another document at any date
Print / Export options
Current page
Whole document
Selected pages
Consolidated PDF of the entire document as of 25th January 2025
Export
Export line by line
Export provision to provision
Report template
Create report template
Alert me to changes
Manage alerts
Bookmarks
This page
This document
Manage bookmarks
Search within this document
View previous searches
Share
Get page link
Share via email application
PreviousNext
Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 10 June 2019 - onwards
Version 2 of 2

Regulation 10 Complaints

The FCA must maintain arrangements designed to enable any person to submit to it a complaint that a proxy advisor has contravened a relevant requirement.

PreviousNext