Version status: In force | Document consolidation status: Updated to reflect all known changes

Published date: 26 November 2020

Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 [SI 2020 No. 1385]

	Introductory Text
	Part 1 General provision (reg. 1)
	Regulation 1 Citation and commencement
	Part 2 Transitional and saving provisions concerning the SFT Regulation (reg. 2-29)
	Chapter 1 Advance applications (reg. 2-5)
	Regulation 2 Advance application for registration as a trade repository
	Regulation 3 Assessment of whether an advance application is complete
	Regulation 4 Determination of an advance application
	Regulation 5 Effect of determining an advance application
	Chapter 2 Temporary registration (reg. 6-10)
	Regulation 6 Temporary deemed registration under the SFT Regulation
	Regulation 7 Application of regulation 6
	Regulation 8 Conditions to be satisfied for regulation 6 to apply
	Regulation 9 Period during which regulation 6 is to apply
	Regulation 10 Cessation following a determination by the FCA
	Chapter 3 Temporary registration for run-off period (reg. 11-18)
	Regulation 11 Temporary deemed registration under the SFT Regulation for run-off period
	Regulation 12 Application of regulation 11
	Regulation 13 Condition to be satisfied for regulation 11 to apply
	Regulation 14 Period during which regulation 11 is to apply
	Regulation 15 Transitional arrangements during the run-off period
	Regulation 16 Notification of a decision to impose requirements under regulation 15
	Regulation 17 Right to refer to the Tribunal
	Regulation 18 Application of Part 9 of the Financial Services and Markets Act 2000
	Chapter 4 Registration conversion (reg. 19-24)
	Regulation 19 Registration under the SFT Regulation
	Regulation 20 Application to regulation 19
	Regulation 21 Conditions to be satisfied for regulation 19 to apply
	Regulation 22 Notification for registration
	Regulation 23 Acknowledgement of receipt
	Regulation 24 FCA response
	Chapter 5 General provisions (reg. 25-29)
	Regulation 25 Misleading the FCA: criminal offence
	Regulation 26 Further information to be supplied by a person to whom regulation 9 or 13 applies
	Regulation 27 Directions
	Regulation 28 Enforcement
	Regulation 29 Interpretation
	Part 3 Transitional and saving provisions concerning the Securitisation Regulation (reg. 30-36)
	Chapter 1 Advance applications (reg. 30-33)
	Regulation 30 Advance application for registration as a securitisation repository
	Regulation 31 Assessment of whether an advance application is complete
	Regulation 32 Determination of an advance application
	Regulation 33 Effect of determining an advance application
	Chapter 2 General provisions (reg. 34-36)
	Regulation 34 Misleading the FCA: criminal offence
	Regulation 35 Directions
	Regulation 36 Interpretation
	Part 4 Amendment of primary legislation (reg. 37-39)
	Regulation 37 Insolvency Act 1986
	Regulation 38 Financial Services and Markets Act 2000
	Regulation 39 Banking Act 2009
	Part 5 Amendment of secondary legislation (reg. 40-71)
	Regulation 40 The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
	Regulation 41 The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
	Regulation 42 The Financial Services and Markets Act 2000 (Benchmarks) Regulations 2018
	Regulation 43 The Financial Regulators’ Powers (Technical Standards etc.) (Amendment etc.) (EU Exit) Regulations 2018
	Regulation 44 The Central Counterparties (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2018
	Regulation 45 The Credit Transfers and Direct Debits in Euro (Amendment) (EU Exit) Regulations 2018
	Regulation 46 The Deposit Guarantee Scheme and Miscellaneous Provisions (Amendment) (EU Exit) Regulations 2018
	Regulation 47 The Trade Repositories (Amendment and Transitional Provision) (EU Exit) Regulations 2018
	Regulation 48 The Capital Requirements (Amendment) (EU Exit) Regulations 2018
	Regulation 49 The Markets in Financial Instruments (Amendment) (EU Exit) Regulations 2018
	Regulation 50 The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019
	Regulation 51 The Market Abuse (Amendment) (EU Exit) Regulations 2019
	Regulation 52 The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019
	Regulation 53 The Packaged Retail and Insurance-based Investment Products (Amendment) (EU Exit) Regulations 2019
	Regulation 54 The Solvency 2 and Insurance (Amendment, etc.) (EU Exit) Regulations 2019
	Regulation 55 The Equivalence Determinations for Financial Services and Miscellaneous Provisions (Amendment etc) (EU Exit) Regulations 2019
	Regulation 56 The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019
	Regulation 57 The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019
	Regulation 58 The Benchmarks (Amendment and Transitional Provision) (EU Exit) Regulations 2019
	Regulation 59 The Securitisation (Amendment) (EU Exit) Regulations 2019
	Regulation 60 The Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019
	Regulation 61 The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019
	Regulation 62 The International Accounting Standards and European Public Limited-Liability Company (Amendment etc.) (EU Exit) Regulations 2019
	Regulation 63 The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019
	Regulation 64 The Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations 2019
	Regulation 65 The Capital Requirements (Amendment) (EU Exit) Regulations 2019
	Regulation 66 The Prospectus (Amendment etc.) (EU Exit) Regulations 2019
	Regulation 67 The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) (No. 2) Regulations 2019
	Regulation 68 The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020
	Regulation 69 The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2020
	Regulation 70 The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020
	Regulation 71 Amendments to cross references to retained EU Regulations
	Part 6 Amendment or revocation of retained direct EU legislation (reg. 72-78)
	Regulation 72 Regulation (EC) No 924/2009
	Regulation 73 Regulation (EU) No 231/2013
	Regulation 74 Regulation (EU) No 575/2013
	Regulation 75 Regulation (EU) 2015/2365
	Regulation 76 Regulation (EU) 2019/877
	Regulation 77 Regulation (EU) 2019/2088
	Regulation 78 Regulation (EU) 2020/852
	Schedule Cross references to EU regulations forming part of retained EU law
	Signature
	Explanatory Note
	Explanatory Memorandum