152. 15. Additional procedure for EEA firms in certain cases. Contravention by relevant EEA firm with UK branch of requirement under markets in financial instruments directive: appropriate regulator primarily responsible for securing compliance, 194B.Contravention by relevant EEA firm of requirement in capital requirements directive or capital requirements regulation, 194C.Contravention by relevant EEA firm with UK branch of requirement in mortgages directive: appropriate regulator primarily responsible for securing compliance, 194D.Contravention by relevant EEA firm of requirement in insurance distribution directive: appropriate regulator primarily responsible for securing compliance. Representations and references to the Tribunal. 27. 2. Application by an investment exchange. 0000002964 00000 n Consultation with the PRA in relation to administrative sanctions, Power of court to impose administrative sanctions in cases of market abuse, Interpretation and supplementary provision, Meaning of “persons closely associated” in the market abuse regulation, Individual liability in respect of legal persons under Articles 8 and 12 of the market abuse regulation, Liability for contraventions of Article 14 or 15 of the market abuse regulation, Short selling rules: procedure in urgent cases, Investigations in support of EEA regulator”, Retention of documents taken under section 131FB, Imposition of penalties under section 131G: statement of policy. General duty of disclosure in listing particulars. Liability of issuer for dishonest delay in publishing information. Designation of activities requiring prudential regulation by PRA, Parliamentary control in relation to certain orders under section 22A. Dependent on the legislation item being viewed this may include: This timeline shows the different points in time where a change occurred. Power of FCA to institute proceedings for certain other offences. 1. 23.Omit sections 11B (loans approved by credit unions), 11C (grant... 24.In section 12, omit subsections (4) and (5). 384. General rule-making powers of the FCA and the PRA. 261A.Information for home state regulator, 261C.Applications for authorisation of contractual schemes, 261D.Authorisation orders : authorised contractual schemes, 261E. View on Westlaw or start a FREE TRIAL today, Financial Services and Markets Act 2000, PrimarySources 13. 11. 24. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below. long time to run. to give notice. 16. Procedure on giving directions under section 267 and varying them on FCA's own initiative. In section 12, omit subsections (4) and (5). Insolvency practitioner’s duty to report to FCA and PRA. 14. 0000006384 00000 n Dependent on the legislation item being viewed this may include: Click 'View More' or select 'More Resources' tab for additional information including: All content is available under the Open Government Licence v3.0 except where otherwise stated. 23. (1) The Bank of England may, in connection with the... 37.Any fee which is owed to the Bank under paragraph... 1.Omit sections 4 (provision for separate registration areas) and 10... 2.In section 7 (societies which may be registered), in subsection... 3.In section 11 (additional registration requirements for societies with branches),... 4.In section 99(4) (punishment of fraud etc and recovery of... 5.Omit sections 31 to 36A (authorisation of friendly societies business).... 6.In section 37 (restrictions on combinations of business), omit subsections... 7.Omit sections 38 to 43 (restrictions on business of certain... 8.Omit sections 44 to 50 (regulation of friendly societies business).... Part II Friendly Societies: Subsidiaries and Controlled Bodies. Notification: overseas investment exchanges and overseas clearing houses. Procedure when refusing approval of a proposal under section 251. 174. (1) Section 343 (information given by auditor: person with close... 20.Section 344 (duty of auditor resigning to give notice) applies... 21.Sections 345A to 345E apply to auditors to whom section... Public record and disclosure of information. 1018 0 obj <> endobj Enhancing public understanding of financial matters etc, 6A.Enhancing public understanding of financial matters etc. 24D.Giving advice to a person other than a body corporate... PART 2B Regulated activities relating to the setting of benchmarks, 24H.Determining or publishing benchmark or publishing connected information. 133A. 232. Enhancing public understanding of financial matters etc. OF THE FINANCIAL SERVICES AND MARKETS ACT 2000 To: The Prudential Regulation Authority (PRA) Date: 23 December 2019 The Society of Lloyd’s, as the authorised person, hereby applies for the new requirements set out in the Schedule below to be imposed on the firm to take effect upon the dates set out in the Schedule. 105. 50. Parliamentary control of statutory instruments. on the Authority’s own initiative. Power of FCA to institute proceedings for certain other offences. Financial Services and Markets Act 2000, SCHEDULE 22 is up to date with all changes known to be in force on or before 09 December 2020. (1) The regulators may make arrangements about—, Information to be included in the public record. Power to impose penalties or issue censure, 123A.Power to prohibit individuals from managing or dealing, 123B.Suspending permission to carry on regulated activities etc, 123C.Exercise of administrative sanctions. It fulfils FCA and Bank obligations under the Financial Services and Markets Act 2000 (FSMA), as amended, to prepare and maintain a memorandum describing how they will work together in exercising their functions in relation to Recognised Investment Exchanges (RIEs) and Recognised Clearing Houses (RCHs). : clients ' money, right to refer to Tribunal to quash rules or of! 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