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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: | Document consolidation status: Updated to reflect all known changes
Version date: 13 May 2019 - onwards

Signature

Rebecca Harris

Mike Freer

Two of the Lords Commissioners of Her Majesty's Treasury

13th May 2019

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