Part 11 U.K.Miscellaneous and general

Documents E+W+S

143 Form of documents etc E+W+S

(1) Every return and other document required for the purposes of this Act—

(a) must be made in such form as the FCA may direct,

(b) must contain such particulars as it may direct, and

(c) must be delivered in such way as it may direct.

(2) The FCA must register and record those documents, together with any observations it considers appropriate to make on them.

(3) The FCA must consult the PRA before issuing a direction which relates to a return or other document a copy of which is required to be sent to the PRA.

Modifications etc. (not altering text)

C1 Ss. 143-146 applied by 1979 c. 34, s. 31(2) (as amended (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 16(3) (with Sch. 5))

144 Form etc of electronic documents sent to FCA or PRA E+W+S

(1) The FCA or PRA (“the authority”) may impose requirements as to the form, authentication and manner of delivery of documents sent electronically to it under this Act.

(2) As regards authentication, the authority may—

(a) require the document to be authenticated by a particular person or a person of a particular description;

(b) specify the means of authentication;

(c) require the document to contain or be accompanied by the name or registered number of the society to which it relates (or both).

(3) As regards the manner of delivery, the authority may specify requirements as to the hardware and software to be used, and technical specifications (for example, matters relating to protocol, security, anti-virus protection or encryption).

(4) The power conferred by this section does not authorise the authority to require documents to be delivered electronically.

(5) Requirements imposed under this section must not be inconsistent with requirements imposed by this Act or any other enactment with respect to the form, authentication and delivery of the document concerned.

(6) In this section, a document is sent electronically if it is sent by electronic means or in electronic form.

Modifications etc. (not altering text)

C1 Ss. 143-146 applied by 1979 c. 34, s. 31(2) (as amended (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 16(3) (with Sch. 5))

145 Fees for inspection and copying of documents E+W+S

The FCA or PRA may charge a person a reasonable fee before—

(a) allowing the person to inspect a document held by it in connection with this Act, or

(b) providing the person with a copy of such a document (or a copy of part of such a document).

Modifications etc. (not altering text)

C1 Ss. 143-146 applied by 1979 c. 34, s. 31(2) (as amended (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 16(3) (with Sch. 5))

146 Certain documents to be received in evidence E+W+S

(1) This section applies to a document issued, received or created by—

(a) the FCA, or

(b) an inspector under this Act,

for the purposes of, or in connection with, this Act.

(2) A document bearing the FCA's seal or stamp is to be received in evidence without further proof.

(3) A document purporting to have been signed by—

(a) a person authorised to do so on behalf of the FCA, or

(b) an inspector under this Act,

is, in the absence of any evidence to the contrary, to be received in evidence without proof of the signature.

Modifications etc. (not altering text)

C1 Ss. 143-146 applied by 1979 c. 34, s. 31(2) (as amended (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 16(3) (with Sch. 5))