The Uncertificated Securities Regulations 2001

[^key-082316d64cfb0bc7c4a72bbb07200668]: Reg. 27(8) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(12)(a)

[^key-a59cced26142172f0dc85b1d0864e977]: Words in reg. 27(9) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(12)(b)

[^key-d90143ae370f82f681113ef229b6fb81]: Reg. 28(8) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(13)(a)

[^key-b95ff3a9577fa6271f9fee93952f5897]: Words in reg. 28(9) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(13)(b)

[^key-3b14722d5d9cb6fdd756ac321d7ee041]: Words in reg. 32(8) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(14)(a)

[^key-dfd6e1922d6c1a7423cbb57913975f67]: Words in reg. 32(9) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(14)(b)

[^key-969b6eec27cf22d1f2e724fbd3169b57]: Words in reg. 32(10) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(14)(c)

[^key-9645b8192e6a83217453d9410869e31c]: Words in reg. 33(11) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(15)

[^key-925f57469c067c5ec2d4c18e8875572a]: Words in reg. 38(3)(a) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(16)(a)

[^key-35a56d85dd1f6ccdd929a6e01f0ab99b]: Words in reg. 38(7) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(16)(b)

[^key-c479f395523b8117d11755c5e0b082e8]: Words in reg. 40(2) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(17)(a)

[^key-d6715fed59470f722d7574db44a611cc]: Words in reg. 40(3) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(17)(b)

[^key-4c5a3423674c81e7d16813da0c2dcca4]: Words in reg. 41(3)(a) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(18)(a)

[^key-7c06c219d4d88e35ddb1f82a3aadf96a]: Words in reg. 41(3)(b) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(18)(b)

[^key-07a4c0bcb1752e5c96b8af8dfcee6714]: Reg. 41(6) inserted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(18)(c)

[^key-260cb2bae0aa80d0a4ddd2c11f6deade]: Words in reg. 42 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(19)(a)

[^key-72940309287545e360438f6d1e748549]: Words in reg. 42(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(19)(b)

[^key-eabcef21e94245856c5386ff4be42c6e]: Words in reg. 42(6) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(19)(c)

[^key-ca0fa600b4ab358cf05dc6c16b785f8f]: Words in reg. 42(12) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(19)(d)

[^key-97b2c9bfc6262388b76154363cd71000]: Reg. 49(4)(a) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(20)

[^key-4979c49625eea55b2cca6530b0a2c8a7]: Reg. 49(4)(b) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(20)

[^key-cef722eda43cf6eadfc0ce1011bf3ff2]: Reg. 49(4)(d) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(20)

[^key-69cad5ba006d0ec1480e21c445e91b9e]: Reg. 49(4)(f) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(20)

[^key-43ec936f32ec35ebe685f1f1c2b4be14]: Reg. 49(5) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(20)

[^key-9d7f93f525ac105165e209278807f799]: Words in Sch. 4 para. 2(4) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(a)

[^key-3b65142098febb092a8253ded449b6a8]: Words in Sch. 4 para. 2(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(b)

[^key-02322fd3ab2b9a0a8e59711f5f3bd33e]: Words in Sch. 4 para. 2(6) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(c)

[^key-273cfcefa836b6f5b303389a1feb4d61]: Words in Sch. 4 para. 3 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(d)

[^key-1bc3d660afa5c12232a275b777cf1f50]: Words in Sch. 4 para. 4(2) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(e)

[^key-3a4c246d459654d015055fa19679a922]: Words in Sch. 4 para. 5(4) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(f)

[^key-7d3f607c4c30ac4087c63c884955f9c8]: Words in Sch. 4 para. 6 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(g)

[^key-a884577800f02871eaee2475b25b8dcd]: Words in Sch. 4 para. 6(1) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(h)(i)

[^key-683d355dfd7a681fadf5dec4ddde7047]: Sch. 4 para. 6(1)(a)(b) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(h)(ii)

[^key-b32c4c82605b955970504c63faa36b5b]: Words in Sch. 4 para. 6(3) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(i)

[^key-010294bc1193aeca97f3c387d137dd8f]: Words in Sch. 4 para. 6(3) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(i)

[^key-800c8bc747f531eb7b0a2192898c838a]: Words in Sch. 4 para. 6(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(j)

[^key-597fa54f263755fedd5d10279202a35e]: Words in Sch. 4 para. 6(6) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(k)

[^key-ba868098fb1341535c9b5f6c64e50039]: Words in Sch. 4 para. 7(3) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(l)

[^key-fbfda8bc5a4cf3d3d9e760b049cab074]: Words in Sch. 4 para. 7(4) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(m)

[^key-78d0ae3449a9ea8c77dc4ff673b2ee1a]: Words in Sch. 4 para. 7(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(n)

[^key-92e9b7d1d06282346990c5016b11c144]: Words in Sch. 4 para. 8 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(o)

[^key-811eee87d2dcfe747e9a68e66c0cf455]: Words in Sch. 4 para. 9 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(p)

[^key-ad2fe23c01e7cb787ff38bdcfb404321]: Words in Sch. 4 para. 9(b) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(q)(i)

[^key-4c512fc03c49fc0605739a79ee8ea13f]: Words in Sch. 4 para. 9(b) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(q)(ii)

[^key-e103fa9ca4561d1c034f21f879d91ec2]: Words in Sch. 4 para. 9 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(r)

[^key-bbf740ffb4dd60f6a646b909ec663413]: Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(i)

[^key-9ff6379a6f056de4a1ec1f826d0860f7]: Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(ii)

[^key-be0de64a26d252c7eb5f6c3417d2c622]: Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(iii)

[^key-d2fe4eccdc3610bbd65d5f0f35233db7]: Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(iv)

[^key-2f8126b7f288c3da9b8c24d01daa5636]: Words in Sch. 4 para. 10 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(s)(v)

[^key-f038a5302a22e4363a3d3c999d5bd7f7]: Words in Sch. 4 para. 11 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(t)

[^key-a66ef593525c8e2d1870b0d22a65a7d5]: Words in Sch. 4 para. 14(2) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(u)

[^key-9cf2068806e277e02a0d24ded91dbaad]: Words in Sch. 4 para. 15(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(v)(i)

[^key-8707915edfa18e677b1dbb2391b0228b]: Words in Sch. 4 para. 15(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(v)(ii)

[^key-983aee627a054b43ae533e1e488a8c35]: Words in Sch. 4 para. 15(5) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(v)(iii)

[^key-0cdb51493951d3daf3f4f623d994f794]: Sch. 4 para. 16(1) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(w)

[^key-5fe288228e25f8949c1c9add7d677f9a]: Words in Sch. 4 para. 16(2) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(x)

[^key-2c4ae2110fb404acb8e84bf7f8b24ae5]: Words in Sch. 4 para. 18 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(y)

[^key-09822e2b3b75f3096323eb2c2552b96d]: Words in Sch. 4 para. 19(1) substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(z)

[^key-6b9a45e23826973c44b15b91704141f9]: Words in Sch. 4 para. 20 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(aa)

[^key-f9562dcc34ea3b58972330e47d65b576]: Words in Sch. 4 para. 21 substituted (1.10.2009) by The Companies Act 2006 (Consequential Amendments) (Uncertificated Securities) Order 2009 (S.I. 2009/1889), regs. 1(2), 2(21)(bb)

[^key-072faf6c2b72b609b120d9343cef9e53]: Words in reg. 6 heading substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(a) (with reg. 3)

[^key-8efe6b37f7a7fd78a56d895bbdfd499a]: Regs. 11A, 11B substituted for reg. 11 (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(10) (with reg. 3)

[^key-cc41b7169e7bcd8b69906673a269813b]: Words in reg. 13 heading substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(12)(a) (with reg. 3)

[^key-e010c8314779022ec271f958e8a09aee]: Words in reg. 3(1) omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(2)(a) (with reg. 3)

[^key-9f88547ad15b397d263450e68f6de87f]: Words in reg. 3(1) omitted (1.4.2013) by virtue of The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 73(a)

[^key-5217584020ff1bd880eaebf8b1b29b4f]: Words in reg. 6(2) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(b) (with reg. 3)

[^key-b96a49c65f940e177c6d8bdc5af14cd6]: Words in reg. 6(3) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(c)(i) (with reg. 3)

[^key-13a2eea6dae1f6893d53cd15b5e9b4db]: Word in reg. 6(3)(b) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(c)(ii) (with reg. 3)

[^key-319004565204cd0edabf678dd65855f5]: Words in reg. 6(4) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(d)(i) (with reg. 3)

[^key-a7eb461efc613d00d3dcb9f2bdcf559b]: Reg. 6(4)(b) omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(d)(ii) (with reg. 3)

[^key-b9ac4c94813e8f4771dfd29908fff56c]: Words in reg. 6(4)(c) omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(e) (with reg. 3)

[^key-f48567197b09d32d1bdfe0b35906e021]: Reg. 6(5)(b) and word omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(f) (with reg. 3)

[^key-aceed94966b8f590894f4167aba926fa]: Reg. 6(6) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(g) (with reg. 3)

[^key-ce1419cbfd2dfd3bad40ed2a9bfa444c]: Reg. 6(7) omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(5)(h) (with reg. 3)

[^key-49cd69dec374827d849271e370f2407c]: Words in reg. 8 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(7) (with reg. 3)

[^key-f1b629fd537ca6821cffad31f36a7cd2]: Words in reg. 9 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(8)(a) (with reg. 3)

[^key-559de351b456d1e83d768588ced0cd5b]: Word in reg. 9(3) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(8)(b) (with reg. 3)

[^key-0ca9aa9ab27a697bdf21499e8418356a]: Words in reg. 9(7) substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 73(b)(i)

[^key-4e1be1c00ffaa35bbe66eedec7477a5a]: Reg. 9(13) inserted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 73(b)(ii)

[^key-3ea27f5f2eb6c24a2825b34a3bf6b8b8]: Reg. 10(1) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(a) (with reg. 3)

[^key-e10045e345f7cf35704edad007cd669c]: Reg. 10(2) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(b) (with reg. 3)

[^key-eb220ba9f4dc493b4e27b1ade8fe5207]: Words in reg. 10(3) inserted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(c)(i) (with reg. 3)

[^key-2ce97c787d6e5e86492ffb5c456381ae]: Words in reg. 10(3) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(c)(ii) (with reg. 3)

[^key-34bfe2ebae165a5918a902f1571d2f69]: Word in reg. 10(3) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(c)(iii) (with reg. 3)

[^key-a257db16100cfc8a7732d91f3500dbd8]: Words in reg. 10(4) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(d) (with reg. 3)

[^key-94acffbf51c479a1efdc6f408225800b]: Words in reg. 10(5) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(9)(d) (with reg. 3)

[^key-601e6828c2de16def29f330013f6bdb0]: Word in Sch. 1 para. 5(7) omitted (1.4.2013) by virtue of The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 36(2)(a) (with regs. 52-58)

[^key-c17b2917ec5da57e4cd01b2fa4d967bf]: Words in Sch. 1 para. 5(7) inserted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 36(2)(b) (with regs. 52-58)

[^key-90acd305b4596a769dc9f4593d1a7264]: Sch. 3 para. 1 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(a) (with reg. 3)

[^key-5a69f91fbd8bc1a2ba4550624ff1358d]: Sch. 3 para. 2(a) substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(b) (with reg. 3)

[^key-32be401a15aa18a7023d47dcaaf20ea9]: Sch. 3 para. 3 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(c) (with reg. 3)

[^key-6c67816223b1c4655db47c845e4c241d]: Sch. 3 para. 4 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(d) (with reg. 3)

[^key-ca4ad9c09d02eb3a4ce51102bd31d1ab]: Words in Sch. 3 para. 5 omitted (1.4.2013) by virtue of The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(e)(ii) (with reg. 3)

[^key-0678f76c23c9996c2055527a18924aa0]: Words in Sch. 3 para. 5 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(e)(iii) (with reg. 3)

[^key-da88d31526b31bb42fec07ba21b33e13]: Sch. 3 para. 6 substituted (1.4.2013) by The Uncertificated Securities (Amendment) Regulations 2013 (S.I. 2013/632), regs. 1, 2(15)(f) (with reg. 3)

[^key-b6aedeffb56f82ff50478d60b614eeac]: Reg. 9(10)(fa)-(fd) inserted (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 2 para. 15

[^M_C_9318499f-ea7d-42ca-970b-64db7c869ae0]: Regulations continued (1.7.2004) by The Government Stock Regulations 2004 (S.I. 2004/1611), regs. 1, 15(3)(4)

[^key-3d0a76ec05b62277edf1a6f4dd1f0b15]: Sch. 1 heading substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(a) (with regs. 10-12)

[^key-3a6a9e6d8d56bf6da98da04ed9d970ef]: Sch. 1 paras. 1-4 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(b) (with regs. 10-12)

[^key-c1e4ea933282841052da04184534ffa9]: Sch. 1 paras. 6-8 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(d) (with regs. 10-12)

[^key-5964770658ac73d07dea7c663706afd4]: Sch. 2 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(10) (with regs. 10-12)

[^key-b0b488950a1b1292c8e54666012d35c9]: Sch. 3 heading substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(a) (with regs. 10-12)

[^key-9f0dbe1e87660b7b3e8483b8bbbd01aa]: Sch. 3 paras. 9, 10 inserted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(f) (with regs. 10-12)

[^key-dfeee4301c5167a6506dd6293da13a75]: Words in reg. 3(1) inserted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(2)(a) (with regs. 10-12)

[^key-0821beab8cfaaceaecf894c7589681d1]: Words in reg. 3(1) substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(2)(b) (with regs. 10-12)

[^key-e018f0e16704bbffc70dd37123b300e2]: Words in reg. 3(1) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(2)(c) (with regs. 10-12)

[^key-f34a5a61c4caea8b574434566b0bd15e]: Reg. 4 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(3) (with regs. 10-12)

[^key-6da1ebc19652819b5e3c99bee8d01458]: Reg. 5 substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(4) (with regs. 10-12)

[^key-caadb985cfebc4e91b094f630213c511]: Reg. 6(1) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(5)(a) (with regs. 10-12)

[^key-7aef2e2683502c6970ef895b8dd67492]: Reg. 6(3)(a) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(5)(b) (with regs. 10-12)

[^key-cc823dd606b61fcc06e2a3141d6cc95a]: Reg. 7 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(6) (with regs. 10-12)

[^key-44badc988da02b5f23cda50763b0586d]: Reg. 12 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(7) (with regs. 10-12)

[^key-496aa3d0cbae4c123ddc1ae66d3dc9f7]: Reg. 13 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(8) (with regs. 10-12)

[^key-27cf1adddb7947c5c2157f6594f3cc53]: Sch. 1 para. 5(1) substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(c)(i) (with regs. 10-12)

[^key-785c84fe55b51bcd9abac9e83a34fc2f]: Sch. 1 para. 5(2) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(c)(ii) (with regs. 10-12)

[^key-7ed56a0d6ab4cde4f11cb3ab466ff750]: Sch. 1 para. 5(3)(a) substituted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(c)(iii)(aa) (with regs. 10-12)

[^key-b9a6e4e169f789efb973f6a5147431b6]: Sch. 1 para. 5(3)(b)(ii) and word omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(c)(iii)(bb) (with regs. 10-12)

[^key-67f5d2ddf4712f841b8e5f240664a5a6]: Words in Sch. 1 para. 5(7) inserted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(c)(iv) (with regs. 10-12)

[^key-cc613ff6b15d67a08bbd77aaeda35c86]: Sch. 1 para. 10 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(e) (with regs. 10-12)

[^key-98a163b75de765798ce5904d627b814f]: Sch. 1 para. 11 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(e) (with regs. 10-12)

[^key-afd25cc637d61dbbdf281d0ccaa33e79]: Sch. 1 para. 23 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(f) (with regs. 10-12)

[^key-f108b48c460b29ab1129a182e754752b]: Sch. 1 para. 24 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(f) (with regs. 10-12)

[^key-49cc796a1debd39d3fdf785692ac1f92]: Sch. 1 para. 25(a) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(g) (with regs. 10-12)

[^key-2bef2a388e921411adb013dc1c7ea498]: Sch. 1 para. 25(d) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(g) (with regs. 10-12)

[^key-358860d09cf1d136c82b698458a4d818]: Sch. 1 para. 27 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(h) (with regs. 10-12)

[^key-3ebbfdfd8a91e1eb5cf39c99a6689a96]: Sch. 1 para. 28 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(9)(h) (with regs. 10-12)

[^key-ca2ad35895f1b28f48e50de88e92905b]: Sch. 3 para. 1(a) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(b) (with regs. 10-12)

[^key-a8c1878a0673e08d97a44525f1c5b647]: Sch. 3 para. 1(b) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(b) (with regs. 10-12)

[^key-29cca91b32ee5094eb2830345e59972e]: Words in Sch. 3 para. 2(a) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(c) (with regs. 10-12)

[^key-48d4766cc1e38431d6ce75fb599e7d3e]: Words in Sch. 3 para. 5 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(d) (with regs. 10-12)

[^key-2d3111ab39b091ce2a9571fe1d3fee2d]: Sch. 3 para. 6(1)(a) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(e)(i) (with regs. 10-12)

[^key-61ca81a8b8863642eb7e879ea0ee382e]: Sch. 3 para. 6(1)(b) omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(e)(i) (with regs. 10-12)

[^key-fe6ce88831a807ffd5bfbcc6143613e5]: Words in Sch. 3 para. 6(1) inserted (27.3.2019) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(e)(ii) (with regs. 10-12)

[^key-d9b8e1b5aa6c13e2e4aee02ea10d7da2]: Sch. 3 para. 7 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(g) (with regs. 10-12)

[^key-fbdb0e3a95f62605d8b6f8f4fb68f6c7]: Sch. 3 para. 8 omitted (27.3.2019) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(2), 4(11)(g) (with regs. 10-12)

[^key-842adeae43f632a3afea82c2ebc48647]: Words in reg. 3(1) omitted (31.12.2020) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(3), 14(2) (with regs. 10-12); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7fee35fe7e7e96d820b2724030d95b90]: Words in Sch. 1 para. 5(7) omitted (31.12.2020) by virtue of The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(3), 14(3)(a) (with regs. 10-12); 2020 c. 1, Sch. 5 para. 1(1)

[^key-e88b0068282565b94b430d47c360477f]: Words in Sch. 1 para. 5(7) substituted (31.12.2020) by The Uncertificated Securities (Amendment and EU Exit) Regulations 2019 (S.I. 2019/679), regs. 1(3), 14(3)(b) (with regs. 10-12); 2020 c. 1, Sch. 5 para. 1(1)

[^key-4d6872283825ad925bdd912ddd35318f]: Regulations applied (with modifications) (E.W.S.) (8.7.2021) by The Payment and Electronic Money Institution Insolvency Regulations 2021 (S.I. 2021/716), reg. 2, Sch. 1 para. 5(b)(ii) (with reg. 5) (as amended by S.I. 2023/1399, regs. 1(2), 4)

[^key-bcecd3b514d195a3915e3524b623c644]: Regulations applied (with modifications) (4.1.2024) by S.I. 2021/716, Sch. 1A para. 5(b)(ii) (as inserted by The Payment and Electronic Money Institution Insolvency (Amendment) Regulations 2023 (S.I. 2023/1399), reg. 1(2), Sch. 1)

[^key-6e5a4a52b71e2a1a0071ba4d9ff655db]: Sch. 4 para. 6 restricted (temp.) (4.3.2024) by The Registered Office Address (Rectification of Register) Regulations 2024 (S.I. 2024/233), regs. 1(2), 16; S.I. 2024/269, reg. 2(z42)

Enforcement

4A

• (1) The court may, on an application by the OFT, enquire into whether any person (“the defaulter”) has refused or otherwise failed, without reasonable excuse, to comply with a notice under paragraph 4(1).

• (2) An application under sub-paragraph (1) shall include details of the possible failure which the OFT considers has occurred.

• (3) In enquiring into a case under sub-paragraph (1), the court shall hear any witness who may be produced against or on behalf of the defaulter and any statement which may be offered in defence.

• (4) Sub-paragraphs (5) and (6) apply where the court is satisfied, after hearing any witnesses and statements as mentioned in sub-paragraph (3), that the defaulter has refused or otherwise failed, without reasonable excuse, to comply with a notice under paragraph 4(1).

• (5) The court may punish the defaulter as it would have been able to punish him had he been guilty of contempt of court.

• (6) Where the defaulter is a body corporate or is a partnership constituted under the law of Scotland, the court may punish any director, officer or (as the case may be) partner of the defaulter as it would have been able to punish that director, officer or partner had he been guilty of contempt of court.

• (7) In this paragraph “the court”—

• (a) in relation to England and Wales or Northern Ireland, means the High Court, and

• (b) in relation to Scotland, means the Court of Session.

4B

• (1) A person commits an offence if he intentionally alters, suppresses or destroys a document which he has been required to produce by a notice under paragraph 4(1).

• (2) A person who commits an offence under sub-paragraph (1) shall be liable—

• (a) on summary conviction, to a fine not exceeding the statutory maximum;

• (b) on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.

Enforcement

4A

• (1) The court may, on an application by the OFT, enquire into whether any person (“the defaulter”) has refused or otherwise failed, without reasonable excuse, to comply with a notice under paragraph 4(1).

• (2) An application under sub-paragraph (1) shall include details of the possible failure which the OFT considers has occurred.

• (3) In enquiring into a case under sub-paragraph (1), the court shall hear any witness who may be produced against or on behalf of the defaulter and any statement which may be offered in defence.

• (4) Sub-paragraphs (5) and (6) apply where the court is satisfied, after hearing any witnesses and statements as mentioned in sub-paragraph (3), that the defaulter has refused or otherwise failed, without reasonable excuse, to comply with a notice under paragraph 4(1).

• (5) The court may punish the defaulter as it would have been able to punish him had he been guilty of contempt of court.

• (6) Where the defaulter is a body corporate or is a partnership constituted under the law of Scotland, the court may punish any director, officer or (as the case may be) partner of the defaulter as it would have been able to punish that director, officer or partner had he been guilty of contempt of court.

• (7) In this paragraph “the court”—

• (a) in relation to England and Wales or Northern Ireland, means the High Court, and

• (b) in relation to Scotland, means the Court of Session.

4B

• (1) A person commits an offence if he intentionally alters, suppresses or destroys a document which he has been required to produce by a notice under paragraph 4(1).

• (2) A person who commits an offence under sub-paragraph (1) shall be liable—