The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001

[^key-17db6bf7e51599421b45a719914a21e5]: Sch. para. 7A(2)-(11) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(10)(b) (with reg. 7)

[^key-190a0c9e175af96bc2fb4f8e154ed946]: Sch. para. 10 in force at 1.12.2001, see reg. 2

[^key-1925ddc3f1d2d1c7296d3b77e625698a]: Sch. para. 31(3) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(19) (with reg. 7)

[^key-1a15bf0cb60c7b7ef77e7399854674d7]: Words in Sch. para. 3H substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(6) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-1b50be8e134a3dca40eb6ea11b7fc2ad]: Words in reg. 3(1) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(3) (with regs. 7(4), 9(1))

[^key-1bd437b2c2801af8cd2399f280a5b387]: Sch. para. 15 omitted (1.4.2013) by virtue of The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), art. 1(1), Sch. 2 para. 36(d)(ii)

[^key-1ce80301ee41b59b371e32d7ec7716b4]: Reg. 9 in force at 1.12.2001, see reg. 2

[^key-1d0bb41428f8881fa64d1613d1cc5e95]: Reg. 11 inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(3) (with reg. 7)

[^key-1e5873f2db1888151679a6b3c3f2114f]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(g) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-1ea4ecd7523d4c99c8c4a3bc09830c99]: Words in Sch. para. 9F(9) substituted (1.12.2021) by The Markets in Financial Instruments (Capital Markets) (Amendment) Regulations 2021 (S.I. 2021/774), regs. 1(3), 2(4)(b)

[^key-2007bfca2b86a98b49e6eedcef0ed694]: Word in Sch. para. 4 omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(7)(d) (with reg. 7)

[^key-204a8ca9d1da91881f773406aa15bb73]: Sch. para. 2 in force at 1.12.2001, see reg. 2

[^key-20c76da9a58a3f017f96386acd10e7f2]: Words in reg. 3(1) 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), 5(2)(a)(iii) (with regs. 52-58)

[^key-213bccc446f2b8a30a38128c80e9c0f1]: Sch. para. 19 in force at 1.12.2001, see reg. 2

[^key-215c4eb8646cfe8e619e8640f8a9f758]: Sch. paras. 40(1)(a)(b) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(25) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 37(g)(xi) and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2233b4d04f9ad1f1da38aaf0e9e171ad]: Reg. 6(4) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(5) (with regs. 7(4), 9(1))

[^key-233763dd779e5c430ff50c1ea15b934d]: Words in Sch. para. 37 substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(f)

[^key-235a894d2806a5c93001d735e30d80d7]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(i) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-254ad67a434cac096a2e18c16520f032]: Sch. para. 9(6) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(14) (with reg. 7)

[^key-26db4c85d7c0c5768b74ac6d286dc388]: Sch. para. 4(2)(aa) inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 7(b)

[^key-2742beb6ca73e6797b7f125f574c4cb2]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(t) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-282dc099c658277b480e0fd50298e014]: Sch. para. 9A(2) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(13) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 37(g)(iv) and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2916c3307813794c1c3d3465cbadc6a2]: Reg. 2 in force at 1.12.2001, see reg. 2

[^key-2d0b2f789d9a5340c744978a3db2989d]: Sch. para. 21A inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 13

[^key-2d1e03742056348f25a76f2c1464f446]: Sch. para. 12(2A)-(2C) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(b)(v)

[^key-30c9baaa78abe170946e4ec32277db6f]: Words in Sch. para. 9E(1) omitted (31.12.2020) by virtue of The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(15)(a) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-319aed77621c5f131e23206827be0842]: Words in Sch. para. 9ZB(6) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(b)

[^key-326dd17e1c7d3601347e3b67c201c60d]: Word in Sch. para. 1(2) substituted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 4

[^key-3386f9233060642c5a5081c938a5f2ff]: Sch. paras. 28(3)(4) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(l)

[^key-343a167096d8a3bcc73b0013899dda50]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(c) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-34c28f32f0bba982c0f025ddf20129a0]: Words in Sch. para. 4(2)(aa) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(7)(a) (with reg. 7)

[^key-3605c603051b4c37ae462588174bfdc3]: Sch. para. 36 and cross-heading inserted (1.2.2014) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (No. 2) Regulations 2013 (S.I. 2013/1908), regs. 1(3)(a), 3(5)

[^key-36e066b0e37b61236db1ed186183a6d6]: Words in Sch. para. 31A(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(21) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 37(g)(viii) and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-375aa5983c294d78d6a5202d55a12d31]: Reg. 3(1A) 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), 5(2)(b) (with regs. 52-58)

[^key-37607d1bbc8f41c3b893fcd5c078b531]: Sch. para. 14 in force at 1.12.2001, see reg. 2

[^key-37a3b3788aca85e80ab2029e72290f41]: Sch. para. 9ZC(b) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(12)(b) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-37b40e98e383d7b139f1bafd336056f5]: Words in Sch. para. 37 substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(22) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 37(g)(ix) and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-3b3ab2eb0b704cc9ad271baa1a4ebf13]: Sch. para. 17 in force at 1.12.2001, see reg. 2

[^key-3dd14834740cf62a9b0798094ef41516]: Sch. paras. 29A, 29B and cross-headings inserted (1.2.2014 for specified purposes) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (No. 2) Regulations 2013 (S.I. 2013/1908), regs. 1(3)(a)(b), 3(4)

[^key-3ea255f5b6697bc3a5bf37c5acabd09d]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(u) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-3ec3d5152bb607d8acc16a305da48f4e]: Sch. Pt. 7 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(e) (with regs. 7(4), 9(1))

[^key-3fbe598744aeae637a6ce844d57b1eb8]: Sch. para. 24 in force at 1.12.2001, see reg. 2

[^key-40492e1bb69330b1cb4e6aeb1d6c6099]: Sch. para. 9J and cross-heading inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(a) (with regs. 7(4), 9(1))

[^key-41d1cf0fa79f4f3775f9fe14f8a08644]: Sch. para. 3C(a)(iii) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(4)(a)(iii) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-42adcdba990869552ad5a79d7ddae88e]: Words in Sch. para. 14 inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(d)

[^key-432a93c0fc26df9a4036b44cd3470fab]: Reg. 6 in force at 1.12.2001, see reg. 2

[^key-436419500658feab2996c1a21c5a5e6b]: Words in Sch. para. 7BB(5) omitted (31.12.2020) by virtue of The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(8)(c) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-4474d341943e7d0a701b40dfc14608d7]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(s) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-47936de6db6dd63349677bc15a19a9b9]: Sch. para. 20 in force at 1.12.2001, see reg. 2

[^key-47c2ec49c83fedd8f422f36b313af5ad]: Sch. para. 3(2)(f)-(o) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(6)(c) (with reg. 7)

[^key-49a3b21097c3e5efd7111ce2b88409fd]: Sch. para. 25A inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(i)

[^key-4d330ff86dcfe61ec19fcc6544026e57]: Sch. para. 7BB(4)(c) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(8)(b)(iii) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-4d655bbbd826bee53fe25564899ae51f]: Word in Sch. para. 3(2)(b) inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 6(a)

[^key-4f3963f2f6ea8071f9390b2d0bf4e893]: Words in Sch. para. 7B(2)(e) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(b) (with reg. 7)

[^key-4fdcab25c485121d223e86649b44d760]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(f) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-50fc52233c7d2cc2940e281a1a987f82]: Words in Sch. para. 9(6)(d) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(a)

[^key-53a974d5de4bf55b5be077f3c2ef7f5c]: Reg. 5A 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), 5(4) (with regs. 52-58)

[^key-54533a319cd911949b310df56532dce0]: Sch. para. 23 in force at 1.12.2001, see reg. 2

[^key-54880fb2b1829d2a367f08e2637bf1e3]: Words in Sch. para. 25(1)(b) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(h)(i)

[^key-548f4a7d0965bb401104a51b9b766dfb]: Sch. para. 3G(1A) inserted (26.3.2020) by virtue of The Financial Services and Markets Act 2000 (Central Counterparties, Investment Exchanges, Prospectus and Benchmarks) (Amendment) Regulations 2020 (S.I. 2020/117), regs. 1(3), 4(3)

[^key-5618e49e9311ef5274046ffdd455d4f3]: Words in reg. 5 heading 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), 5(3)(a) (with regs. 52-58)

[^key-57321558a9abd30c3c347c7d132b7922]: Words in Sch. para. 12(2)(b) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(b)(ii)

[^key-59c37a308a6d194ce0a43035a97ec1cb]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(k) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-5abe97ec39984192ef891cefa8b14df8]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(m) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-5b2d26b11eaf227940edb0c689dfc148]: Words in reg. 3(1) substituted (31.12.2020) by virtue of The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(x) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-5dd0fd68f96525bc8b57c496fca2e71d]: Sch. para. 9F(6)(c) omitted (26.7.2021) by virtue of The Markets in Financial Instruments (Capital Markets) (Amendment) Regulations 2021 (S.I. 2021/774), regs. 1(2), 2(4)(a)

[^key-5decad4b2d55a21dede9cce58d4d4f67]: Sch. para. 12(2)(bb) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(b)(iii)

[^key-5f817c232f5500ce5f9f7ddbf5a7d86f]: Words in Sch. para. 9ZB(6) omitted (31.12.2020) by virtue of The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(11)(b) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-602f42f260ec13d13af98ef3de6d21a2]: Words in Sch. para. 9A(2)(b) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(c)

[^key-621f005ffb0fa04ebdf3742c1c3c3dde]: Sch. para. 6 in force at 1.12.2001, see reg. 2

[^key-63d0fbba41f7ed7259bce91b84724842]: Words in Sch. Pt. 3 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), art. 1(1), Sch. 2 para. 36(d)(iii)

[^key-649f85ab18311a1de79aec5074d247f2]: Words in reg. 5 substituted (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), 5(3)(b) (with regs. 52-58)

[^key-64ba1527d21e636bc6f320e8f422c563]: Sch. para. 13 in force at 1.12.2001, see reg. 2

[^key-669b607edc56267650305833b2f5a033]: Words in Sch. para. 24(4) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(c)(i)(bb) (with regs. 7(4), 9(1))

[^key-67030f7d4e5010517f55617fdf6628d0]: Sch. para. 7E(2)-(4) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(13)(c) (with reg. 7)

[^key-69c7a94bff55a41e3cf71b2279118a76]: Words in Sch. para. 9A(2)(a)(i) substituted (1.12.2021) by The Markets in Financial Instruments (Capital Markets) (Amendment) Regulations 2021 (S.I. 2021/774), regs. 1(3), 2(3)

[^key-6ab216516d78f0536fca9c4462804388]: Sch. para. 12(2)(c) substituted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(b)(iv)

[^key-6e29d4fc40ef2586a7748d0c07d40ce9]: Sch. para. 31A and cross-heading inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(d) (with regs. 7(4), 9(1))

[^key-7066af7f827be8305fa84938955e53a2]: Sch. para. 7B(3) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(c) (with reg. 7)

[^key-70884e832e54a77e4e43226b6a82d895]: Words in Sch. para. 4(2)(a) inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 7(a)

[^key-71305e25072ec53970085d36fb7788ca]: Words in Sch. para. 40(1)(b) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(h)

[^key-7275859d9bd6c9a98a46c09530808e4b]: Words in Sch. para. 31A(1) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 9 para. 2(e)

[^key-73053690c95b9eeb3f0fad0dfc8928f3]: Sch. para. 9 in force at 1.12.2001, see reg. 2

[^key-7341f38897c11dc86295e05b08c70c34]: Reg. 5B inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(4) (with regs. 7(4), 9(1))

[^key-74296c866a33bec7491be47254fc85dc]: Words in Sch. para. 9I substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(17) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-74fca8b9b2f8061dbb7bbb796ab1f8d5]: Sch. para. 23A and cross-heading inserted (1.5.2014) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (No. 2) Regulations 2013 (S.I. 2013/1908), regs. 1(3)(b), 3(3)

[^key-7537ef04a4c9cf09efe1d21e04af532b]: Words in Sch. para. 28(1) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(k)

[^key-7556688228f146fa8e888e8d77ac8db2]: Words in Sch. para. 3B(4) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(3) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-77a2b72e380d2cb9c8b42734f24c3558]: Sch. para. 3G(1)(b) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(5)(a) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-79b79e6b1a7bacd2a798633a588ecf0b]: Sch. para. 27 in force at 1.12.2001, see reg. 2

[^key-79dd8e53bb15d19ff86535817957012f]: Sch. Pts. 3, 4 applied (with modifications) (26.8.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (No. 2) Regulations 2013 (S.I. 2013/1908), regs. 1(3)(c), 6(2)-(4)

[^key-7a51b2d0dd1dfb22304780685af2e1fe]: Words in Sch. para. 9F(9) inserted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(16)(c) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 37(g)(vi) and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7b1dc44f88cfebd6e157d1ca7f2794c9]: Sch. para. 9F(6)(d) omitted (26.7.2021) by virtue of The Markets in Financial Instruments (Capital Markets) (Amendment) Regulations 2021 (S.I. 2021/774), regs. 1(2), 2(4)(a)

[^key-7b6a62b5c9022eb0daebfbbc6aecdc95]: Sch. para. 4 in force at 1.12.2001, see reg. 2

[^key-7bad3d5fc93d5ef5bbb2fd299c3032f1]: Words in Sch. para. 9A(1) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(16)(b) (with reg. 7)

[^key-7c730c22178df3d6c16903631f4c1c0d]: Words in reg. 3(1) inserted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(n) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7c86413ba178dfae9bcdd45418585710]: Words in Sch. para. 12(1) inserted (15.6.2009) by The Financial Markets and Insolvency Regulations 2009 (S.I. 2009/853), regs. 1(1), 4(3)(b)(i)

[^key-7e8e7120792cd5e025f28490e4bcc327]: Words in reg. 3(1) 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), 5(2)(a)(i) (with regs. 52-58)

[^key-7f2b49777ea8dfcc9830c8c95558bdb9]: Words in Sch. para. 10(4) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(b)(i)(aa) (with regs. 7(4), 9(1))

[^key-7ff164658e5b9e9d43a9924bf097e77b]: Sch. Pts. 5, 6 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), 5(6) (with regs. 52-58)

[^key-80784eac126edeb33ba45ded869bf294]: Sch. para. 7 in force at 1.12.2001, see reg. 2

[^key-8165b813bca5cdd1730d73e1d39f682a]: Words in Sch. para. 27 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 4(6)(c)(ii) (with regs. 7(4), 9(1))

[^key-84018c814f44b60c24098a96de0df728]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(v) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-84952fc518812c423330b6bb021c7986]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(o) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-85a32cc390f1cae3e6dbbb4fc2c5b14b]: Words in reg. 3(1) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 19(2)(a) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)

[^key-862342e5a706142e97f9c4228536a95b]: Regulations applied (with modifications) (temp.) (1.5.2014) by S.I. 2013/504, regs. 1(2), 52(5A) (as inserted by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (Amendment) Regulations 2014 (S.I. 2014/905), regs. 1(2), 2(3))

[^key-86518e44da15492bc521b6f4d042650e]: Reg. 7 in force at 1.12.2001, see reg. 2

[^key-8671255646273d33bb85f12278a9a2af]: Words in reg. 3(1) substituted (26.8.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (No. 2) Regulations 2013 (S.I. 2013/1908), regs. 1(3)(c), 3(2)

[^key-898301b033d35c5976e48c434b7a4312]: Words in Sch. para. 10(3) omitted (1.11.2007) by virtue of The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 12