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

	Regulation 30 Interpretation
	Regulation 31 Public list of proxy advisors
	Regulation 32 Removal of a proxy advisor from the public list

Table of Contents

Document Overview

Part 6 Public list of proxy advisors (regs. 30-32)

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