The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
PART 1Citation, commencement and interpretation
1Citation and commencement
2Interpretation
PART 2Amendments to the Financial Services and Markets Act 2000
3Amendments to the Financial Services and Markets Act 2000
PART 3Amendments to the Companies Act 1989
4Amendments to the Companies Act 1989
PART 4Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
5Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
PART 5Designation of competent authorities and powers of FCA
6Designation of competent authorities
7Power of the FCA to require information
8Applications, notifications and reports to FCA
9Penalties and statements
10Penalties under regulation 9: procedure
PART 6Acquisition of control over recognised central counterparties
11Interpretation of Part 6
12Procedure in relation to proposed acquisition
13Restriction notices
14Orders for sale of shares
15Offences
PART 6ARemoval of directors of recognised central counterparties
15ARemoval of directors of recognised central counterparties
PART 7Investigatory powers of ESMA with regard to trade repositories
15BInterpretation
16Records of telephone and data traffic: Article 62(1)(e) of the EMIR regulation
17Inspections: Article 63 of the EMIR regulation
18Retention of documents taken under regulation 17
19Offences: Article 63 inspections
PART 8Consequential amendments
20Amendments to the Finance Act 1991
21Amendment to the Pension Schemes Act 1993
22Amendment to the Pension Schemes (Northern Ireland) Act 1993
23Amendments to the Pensions Act 2004
24Amendments to the Income Tax Act 2007
25Amendments to the Banking Act 2009
26Amendments to the Corporation Tax Act 2009
27Amendment to the European Communities (Enforcement of Community Judgments) Order 1972
28Amendment to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
29Amendments to the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979
30Amendments to the Financial Markets and Insolvency Regulations 1991
31Amendments to the Income Tax (Manufactured Overseas Dividends) Regulations 1993
32Amendments to the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
33Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
34Amendment to the Financial Services and Markets Act 2000 (Exemption) Order 2001
35Amendments to the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
36Amendments to the Uncertificated Securities Regulations 2001
37Amendment to the Pension Protection Fund (PPF Ombudsman) Order (Northern Ireland) 2005
38Amendment to the Pension Protection Fund (PPF Ombudsman) Order 2005
39Amendment to the Financial Assistance Scheme (Appeals) Regulations 2005
40Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No.9) 2009
41Amendments to the Investment Bank Special Administration Regulations 2011
42Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Eurex Clearing AG) Regulations 2011
43Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Central Counterparty Limited) Regulations 2011
44Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Multilateral Clearing Facility N.V.) Regulations 2011
45Amendments to the Stamp Duty and Stamp Duty Reserve Tax (LCH.Clearnet Limited) Regulations 2011
46Amendments to the Stamp Duty and Stamp Duty Reserve Tax (SIX X-CLEAR AG) Regulations 2011
47Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Cassa Di Compensazione E Garanzia S.p.A.) Regulations 2011
48Amendments to the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013
49Amendment to the Payment to Treasury of Penalties (Enforcement Costs) Order 2013
PART 9Transitional and saving provisions
50Interpretation of Part 10
51Information provided to or requested by FSA
52Transitional and saving provisions: central counterparties
53Further transitional provisions: EEA and third country central counterparties
54Transitional and saving provisions: overseas persons
55Transitional and saving provisions: designation orders under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
55ATransitional provisions: markets in financial instruments provisions
55BTransitional provision: EMIR regulation
PART 10Miscellaneous
56Warning notices and decision notices
57Offences
58References to the Tribunal
59Scotland
60Review
SCHEDULESection 191 of the Companies Act 1989: index of defined expressions

2013 No. 504

Financial Services And Markets

The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013

Made

Laid before Parliament

Coming into force in accordance with regulation 1(2)

F1The Treasury are designated1 for the purposes of section 2(2) of the European Communities Act 19722 in relation to financial services.

The Treasury make the following Regulations in exercise of—C1

a

the powers conferred by section 2(2) of the European Communities Act 1972;

b

the powers conferred by sections 155(4) and (5), 186(1) and 187(3) of the Companies Act 19893 and now vested in them4;

c

the powers conferred by sections 286 and 428(3) of the Financial Services and Markets Act 20005, with the approval of the Secretary of State required by section 286(2) of that Act.

The Treasury and the Secretary of State make the following Regulations in exercise of the powers conferred by sections 158(4) and (5), 174(2) to (4), 185 and 186(1) of the Companies Act 19896 and now vested in them jointly7.C1

Annotations:
Amendments (Textual)
Modifications etc. (not altering text)