The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016

• (5) Where an unrecorded telephone line is used to make a report of a contravention, the FCA may document the oral reporting in the form of accurate minutes of the conversation prepared by FCA dedicated staff members.

• (6) If the FCA prepares minutes of a report of a contravention for the purposes of sub-paragraph (5) and the reporting person has disclosed his or her identity to the FCA, the FCA must give the reporting person the opportunity to check, rectify and agree the minutes of the call by signing them.

• (7) Where a person requests a physical meeting with FCA dedicated staff members to make a report of a contravention under paragraph 5(3)(c) the FCA must ensure that complete and accurate records of the meeting are kept in a durable and retrievable form.

• (8) The FCA may document the records of the physical meeting referred to in sub-paragraph (7) in the form of—

• (a) an audio recording of the conversation in a durable and retrievable form; or

• (b) accurate minutes of the meeting prepared by the FCA dedicated staff members.

• (9) If the FCA prepares minutes of a report of a contravention for the purposes of paragraph (8)(b) and the reporting person has disclosed his or her identity to the FCA, the FCA must give the reporting person the opportunity to check, rectify and agree the minutes of the meeting by signing them.

Protection of persons working under a contract of employment

7

• (1) The FCA must provide reporting persons with access to comprehensive information and advice on the remedies and procedures available under the law of the United Kingdom to protect them against unfair treatment.

• (2) The information and advice referred to in sub-paragraph (1) must include information and advice on any relevant procedures under the law of the United Kingdom to claim damages or compensation for unfair treatment.

Review of the procedures by FCA

8

• (1) The FCA must review its procedures for receiving and following up reports of contraventions regularly, and in any event at least once every two years.

• (2) In reviewing its procedures the FCA must take account of its experience ... and adapt its procedures accordingly and in line with market and technological developments.

Signed

David Evennett — Mel Stride — Two of the Lords Commissioners of Her Majesty's Treasury — 2016-06-28

Explanatory note

(This note is not part of the Regulations)

Footnotes

[^f00001]: S.I. 2012/1759.

[^f00002]: 1972 c. 68; section 2(2) was amended by section 27 of the Legislative and Regulatory Reform Act 2006 (c.51) and by section 3 of, and the Schedule to, the European Union (Amendment) Act 2008 (c.7). By virtue of the amendment of section 1(2) made by section 1 of the European Economic Act 1993 (c. 51) regulations may be made under section 2(2) to implement obligations of the United Kingdom created by or arising under the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 (Cm 2073, OJ No L1, 3.11.1994, p3) and the Protocol adjusting that Agreement signed at Brussels on 17th March 1993 (Cm 2183, OJ No L1, 3.1.1994, p572).

[^f00003]: 2000 c. 8.

[^f00004]: OJ No L 173, 14.04.2014, p31.

[^f00005]: 2000 c.8; Section 398 was amended by S.I. 2013/423, S.I. 2013/1773, S.I. 2015/1882 and by paragraphs 36(2) and (3) of Schedule 9 to the Financial Services Act 2012 (c. 21).

[^f00006]: Section 73A was inserted by S.I. 2005/381 and amended by section 16(4) of the Financial Services Act 2012.

[^f00007]: Section 91 was amended by S.I. 2005/1433, 2005/381, 2015/1755, paragraphs 6(2) to (4) of Schedule 15 to the Companies Act 2006 (c. 46) and by sections 16(3)(g) and 20 of the Financial Services Act.

[^f00008]: Sections 96A to 96C were inserted by S.I. 2005/381. Section 96A was amended by 2012/1538 and section 16(3) of the Financial Services Act 2012. Section 96B was amended by S.I. 2009/2461 and paragraph 7(a) and (b) of Schedule 15 to the Companies Act 2006 (c.46). Section 96C was amended by section 16(3)(g) of the Financial Services Act 2012.

[^f00009]: Section 97(1)(b) was amended by S.I. 2015/1755.

[^f00010]: Section 102A(4) was amended by S.I. 2008/3053.

[^f00011]: OJ No L 145, 30.04.2004, p1.

[^f00012]: Section 102B was amended by S.I. 2005/1433 and 2007/126.

[^f00013]: Section 102C was amended by S.I. 2015/1755.

[^f00014]: Section 103(1) was amended by S.I. 2005/1433, 2008/1886, 2012/1538, 2013/113, 2014/3293, 2015/1755, sections 16(3)(i) and (14)(g) of the Financial Services Act 2012 and by section 1265 and paragraphs 11(2) and (3) of Schedule 15 to the Companies Act 2006.

[^f00015]: Schedule 11B was inserted by S.I. 2009/2461.

[^f00016]: Sections 118 to 118C were substituted for the original section 118 by S.I. 2005/381 and sections 118 and 118A were further amended by S.I. 2014/3081. Sections 119 to 122 were amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012 and section 121 was also amended by paragraph 9(3) of that Schedule.

[^f00017]: Section 123 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00018]: OJ No L 173, 14.04.2014, p31.

[^f00019]: OJ No L 173, 14.04.2014, p31.

[^f00020]: 1984 c. 60; section 15(5) was amended and section 15(5A) was inserted by section 114(5) and (6) of the Serious Organised Crime and Police Act 2005 (c.15), section 15(6) was amended by section 113(8) the Serious Organised Crime and Police Act 2005 and further amended by S.I. 2005/3496, and section 15(7) was amended by section 114(7) of the Serious Organised Crime and Police Act 2005.

[^f00021]: Section 16(3) was amended by section 114(8) of the Serious Organised Crime and Police Act 2005, section 16(3A) was inserted by section 113(9), section 16(10) and (10A) was substituted for section 16(10) by section 114(8) of the Serious Organised Crime and Police Act 2005, section 16(9) was amended by S.I. 2005/3496 and section 16(11) was amended by paragraph 281 of Schedule 8 to the Courts Act 2003 (c. 39).

[^f00022]: S.I. 1989/1341 (N.I. 12); Article 17(5) was amended by S.I. 2007/288 (N.I. 2), Article 17(5A) inserted by S.I. 2007/288 (N.I. 2) and Article 17(6) and (7) was amended by S.I. 2007/288 (N.I. 2).

[^f00023]: Article 18(3) was amended by S.I. 2007/288 (N.I. 2), Article 18(3A) and (3B) were inserted by S.I. 2007/288 (N.I. 2), Article 18(9) was amended by S.I. 2007/288 (N.I. 2), Article 18(10) was substituted by S.I. 2007/288 (N.I. 2), Article 18(10A) was inserted by S.I. 2007/288 (N.I. 2), and Article 12 was amended by S.I. 2007/288 (N.I. 2).

[^f00024]: Section 176(1) was amended by paragraph 14(1) and (2) of Schedule 12 to the Financial Services Act 2012.

[^f00025]: OJ No L 173, 14.04.2014, p31.

[^f00026]: Section 78 was amended by S.I. 2007/1973, section 16(1) to (3) of the Financial Services Act 2012 and by S.I. 2014/3329.

[^f00027]: Section 123(1) and (3) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00028]: Section 124 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00029]: OJ No L 173, 14.04.2014, p31.

[^f00030]: Section 126 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00031]: Section 127(1) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00032]: Section 127(4) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00033]: Section 128(1) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00034]: Section 128(3) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00035]: Section 129 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00036]: Section 130(1) was amended by paragraph 9(4) of Schedule 9 to the Financial Services Act 2012.

[^f00037]: 2012 c. 21.

[^f00038]: 1993 c. 36.

[^f00039]: Section 130(5) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00040]: Section 130A was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00041]: Section 131A(2) was inserted by S.I. 2005/381.

[^f00042]: Section 131A(4) was inserted by S.I. 2005/381 and further amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^f00043]: 1996 c. 18; section 230 was amended by section 15(1) of the Public Interest Disclosure Act 1989 (c.23), paragraph 41 of Schedule 7 to the Children and Families Act 2014 (c.6) and by section 149(3) of the Small Business, Enterprise and Employment Act 2015 (c.26).

[^f00044]: Section 313 was amended by S.I. 2007/126, paragraph 36(3) of Schedule 8 to the Financial Services Act 2012 (c.21) and by S.I. 2013/504 and 2014/892.

[^f00045]: Section 1H was inserted by section 6(1) of the Financial Services Act 2012 and further amended by S.I. 2013/1881; there are other amending instruments but none is relevant.

[^f00046]: OJ No L 173, 14.04.2014, p31.

[^f00047]: OJ No L 145, 30.04.2004, p1.

[^f00048]: Section 1D(2)(c) was inserted by section 6(1) of the Financial Services Act 2012.

[^f00049]: Section 55J(7) was inserted by section 11(2) of the Financial Services Act 2012.

[^f00050]: Section 133(7A)(h) was inserted by section 23(2)(c) of the Financial Services Act 2012.

[^f00051]: Section 137Q(2)(a) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00052]: Section 137Q(3) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00053]: Section 137Q(4) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00054]: Section 139A(4) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00055]: Section 140A(1) was inserted by section 24(1) of the Financial Services Act 2012 and the definition of “regulating provisions” was further amended by paragraph 10(a) and (b) of Schedule 3 to the Pensions Act 2013 (c.8); there are other amending instruments but none is relevant.

[^f00056]: Section 168(1)(b) was amended by paragraph 8(2)(b) of Schedule 12 to the Financial Services Act 2012.

[^f00057]: Section 168(4)(ja) was amended by S.I. 2013/1773.

[^f00058]: Section 174(2) was amended by paragraph 12 of Schedule 12 to the Financial Services Act 2012.

[^f00059]: Section 167 was amended by S.I. 2007/126, paragraph 7(2) and (3) of Schedule 12 to the Financial Services Act 2012, and by S.I. 2015/575.

[^f00060]: Section 168 was amended by S.I. 2007/126, paragraph 33(3) of Schedule 7 to the Counter-Terrorism Act 2008 (c.28), paragraph 16(2) and (3) of Schedule 2 to the Financial Services Act 2010, paragraph 8(2)(a) to (c), (3)(a) and (b), (4)(a) to (g), (5), and (6) of Schedule 12 to the Financial Services Act 2012, S.I. 2012/2554 and 2013/1773, paragraph 11 of Schedule 3 to the Pension Schemes Act 2015 (c.8), and 2016/225.

[^f00061]: Section 169 was amended by S.I. 2011/1043 and by paragraph 9(2) to (9) of Schedule 12 to the Financial Services Act 2012.

[^f00062]: Section 206A was inserted by section 9 of the Financial Services Act 2010 and subsection (1A) was inserted by paragraph 13(3) of Schedule 9 to the Financial Services Act 2012.

[^f00063]: Section 381(1) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^f00064]: Section 381(2) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^f00065]: Section 381(3) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^f00066]: Section 383(1) was amended by paragraph 22 of Schedule 9 to the Financial Services Act 2012.

[^f00067]: OJ No L 173, 14.04.2014, p31.

[^f00068]: Section 384(2) was amended by paragraph 23(2)(a) of Schedule 9 to the Financial Services Act 2012.

[^f00069]: Section 384(5) was amended by paragraph 23(4)(a) and (b) of Schedule 9 to the Financial Services Act 2012.

[^f00070]: Section 384(4) was amended by paragraph 23(3) of Schedule 9 to the Financial Services Act 2012.

[^f00071]: Section 391(7B) was inserted by S.I. 2012/916.

[^f00072]: Section 391(8A) was inserted by S.I. 2014/2879.

[^f00073]: Section 395(13)(ba) was inserted by S.I. 2005/381.

[^f00074]: Section 395(13)(bb) was inserted by S.I. 2005/1433.

[^f00075]: Section 398(1A)(e) was inserted by S.I. 2013/1773.

[^f00076]: Section 398(1A)(f) was inserted by S.I. 2015/1882.

[^f00077]: Section 415B(3)(c) was inserted by paragraph 41 of Schedule 9 to the Financial Services Act 2012.

[^f00078]: Paragraph 8(3)(b) of Schedule 1ZA was inserted by paragraph 1 of Schedule 3 to the Financial Services Act 2012 and amended by paragraph 16(a) of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c.33).

[^f00079]: Paragraph 5 of Schedule 1 was amended by S.I. 2001/3649 and 2005/381 and by paragraph 76 of Schedule 18 to the Financial Services Act 2012.

[^f00080]: Section 137Q(1) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00081]: Paragraph 1(6) of Schedule 3A was inserted by S.I. 2007/3288 and amended by S.I. 2011/1043.

[^f00082]: OJ No L 345, 31.12.2003, p64.

[^f00083]: OJ No L 32, 5.2.2004, p17.

[^f00084]: 2001 c. 16.

[^f00085]: Section 57(1)(o) was amended by paragraph 92 of Schedule 18 to the Financial Services Act 2012.

[^f00086]: Section 176A of the Financial Services and Markets Act 2000 was inserted by paragraph 15 of Schedule 12 to the Financial Services Act 2012.

[^f00087]: 2002 c. 29; paragraph 1(6) was amended by S.I. 2011/1043.

[^f00088]: S.I. 2001/995; paragraph 7A(10) of the Schedule was inserted by S.I. 2006/3386 and 2011/1043.

[^f00089]: S.I. 2001/996.

[^f00090]: S.I. 2001/2188.

[^f00091]: OJ No L 173, 14.04.2014, p31.

[^f00092]: The definition of “EEA competent authority” was amended by S.I. 2003/2066, 2006/3413 and 2013/504.

[^f00093]: The definition of “single market restrictions” was inserted by S.I. 2012/996.

[^f00094]: Sub-paragraph (l) was amended by S.I. 2014/3348.

[^f00095]: Sub-paragraph (m) was inserted by S.I. 2014/3348.

[^f00096]: Regulation 8(c) was inserted by S.I. 2013/509 and amended by 2014/3348.

[^f00097]: Regulation 8(d) was inserted by S.I. 2014/3348.

[^f00098]: Regulation 9(1) was amended by S.I. 2015/910, there are other amending instruments but none is relevant.

[^f00099]: Regulation 9(2) was amended by S.I. 2013/1773 and 2014/3348.

[^f00100]: Regulation 9(2C) was inserted by S.I. 2014/3348.

[^f00101]: Regulation 9(3F) was inserted by S.I. 2015/910.

[^f00102]: Regulation 11(g) was inserted by S.I. 2014/3348.

[^f00103]: S.I. 2005/382.

[^f00104]: S.I. 2007/3299; regulation 2(1) was amended by S.I. 2011/1043, there are other amending instruments but none is relevant.

[^f00105]: S.I. 2011/2699.

[^f00106]: There are amendments to section 165 to 167 which are not relevant to these Regulations.

[^f00107]: Section 417 was amended by sections 48(1)(d) and (k) of the Financial Services Act 2012, there are other amending instruments but none is relevant.

[^f00108]: OJ No L 173, 14.04.2014, p31.

[^f00109]: S.I. 2013/419.

[^f00110]: Article 2(2)(i) was inserted by S.I. 2015/1882.

[^f00111]: Article 2(8)(e) was inserted by S.I. 2014/2879.

[^f00112]: Article 2(9) was inserted by S.I. 2014/3348.

[^f00113]: There are amendments to article 4(9) which are not relevant to these Regulations.

[^f00114]: Article 5(2)(j) was inserted by S.I. 2015/1882.

[^f00115]: Article 5(5)(i) was inserted by S.I. 2015/1882.

[^f00116]: Article 6(2)(l) was inserted by S.I. 2015/1882.

[^f00117]: OJ No L 173, 14.04.2014, p31.

Editorial notes

[^c23187631]: S.I. 2012/1759.

[^c23187641]: 1972 c. 68; section 2(2) was amended by section 27 of the Legislative and Regulatory Reform Act 2006 (c.51) and by section 3 of, and the Schedule to, the European Union (Amendment) Act 2008 (c.7). By virtue of the amendment of section 1(2) made by section 1 of the European Economic Act 1993 (c. 51) regulations may be made under section 2(2) to implement obligations of the United Kingdom created by or arising under the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 (Cm 2073, OJ No L1, 3.11.1994, p3) and the Protocol adjusting that Agreement signed at Brussels on 17th March 1993 (Cm 2183, OJ No L1, 3.1.1994, p572).

[^c23187651]: 2000 c. 8.

[^c23187661]: OJ No L 173, 14.04.2014, p31.

[^c23187671]: 2000 c.8; Section 398 was amended by S.I. 2013/423, S.I. 2013/1773, S.I. 2015/1882 and by paragraphs 36(2) and (3) of Schedule 9 to the Financial Services Act 2012 (c. 21).

[^c23187681]: Section 73A was inserted by S.I. 2005/381 and amended by section 16(4) of the Financial Services Act 2012.

[^c23187691]: Section 91 was amended by S.I. 2005/1433, 2005/381, 2015/1755, paragraphs 6(2) to (4) of Schedule 15 to the Companies Act 2006 (c. 46) and by sections 16(3)(g) and 20 of the Financial Services Act.

[^c23187701]: Sections 96A to 96C were inserted by S.I. 2005/381. Section 96A was amended by 2012/1538 and section 16(3) of the Financial Services Act 2012. Section 96B was amended by S.I. 2009/2461 and paragraph 7(a) and (b) of Schedule 15 to the Companies Act 2006 (c.46). Section 96C was amended by section 16(3)(g) of the Financial Services Act 2012.

[^c23187711]: Section 97(1)(b) was amended by S.I. 2015/1755.

[^c23187721]: Section 102A(4) was amended by S.I. 2008/3053.

[^c23187731]: OJ No L 145, 30.04.2004, p1.

[^c23187741]: Section 102B was amended by S.I. 2005/1433 and 2007/126.

[^c23187751]: Section 102C was amended by S.I. 2015/1755.

[^c23187761]: Section 103(1) was amended by S.I. 2005/1433, 2008/1886, 2012/1538, 2013/113, 2014/3293, 2015/1755, sections 16(3)(i) and (14)(g) of the Financial Services Act 2012 and by section 1265 and paragraphs 11(2) and (3) of Schedule 15 to the Companies Act 2006.

[^c23187771]: Schedule 11B was inserted by S.I. 2009/2461.

[^c23187781]: Sections 118 to 118C were substituted for the original section 118 by S.I. 2005/381 and sections 118 and 118A were further amended by S.I. 2014/3081. Sections 119 to 122 were amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012 and section 121 was also amended by paragraph 9(3) of that Schedule.

[^c23187791]: Section 123 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187801]: OJ No L 173, 14.04.2014, p31.

[^c23187811]: OJ No L 173, 14.04.2014, p31.

[^c23187821]: 1984 c. 60; section 15(5) was amended and section 15(5A) was inserted by section 114(5) and (6) of the Serious Organised Crime and Police Act 2005 (c.15), section 15(6) was amended by section 113(8) the Serious Organised Crime and Police Act 2005 and further amended by S.I. 2005/3496, and section 15(7) was amended by section 114(7) of the Serious Organised Crime and Police Act 2005.

[^c23187831]: Section 16(3) was amended by section 114(8) of the Serious Organised Crime and Police Act 2005, section 16(3A) was inserted by section 113(9), section 16(10) and (10A) was substituted for section 16(10) by section 114(8) of the Serious Organised Crime and Police Act 2005, section 16(9) was amended by S.I. 2005/3496 and section 16(11) was amended by paragraph 281 of Schedule 8 to the Courts Act 2003 (c. 39).

[^c23187841]: S.I. 1989/1341 (N.I. 12); Article 17(5) was amended by S.I. 2007/288 (N.I. 2), Article 17(5A) inserted by S.I. 2007/288 (N.I. 2) and Article 17(6) and (7) was amended by S.I. 2007/288 (N.I. 2).

[^c23187851]: Article 18(3) was amended by S.I. 2007/288 (N.I. 2), Article 18(3A) and (3B) were inserted by S.I. 2007/288 (N.I. 2), Article 18(9) was amended by S.I. 2007/288 (N.I. 2), Article 18(10) was substituted by S.I. 2007/288 (N.I. 2), Article 18(10A) was inserted by S.I. 2007/288 (N.I. 2), and Article 12 was amended by S.I. 2007/288 (N.I. 2).

[^c23187861]: Section 176(1) was amended by paragraph 14(1) and (2) of Schedule 12 to the Financial Services Act 2012.

[^c23187871]: OJ No L 173, 14.04.2014, p31.

[^c23187881]: Section 78 was amended by S.I. 2007/1973, section 16(1) to (3) of the Financial Services Act 2012 and by S.I. 2014/3329.

[^c23187891]: Section 123(1) and (3) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187901]: Section 124 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187911]: OJ No L 173, 14.04.2014, p31.

[^c23187921]: Section 126 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187931]: Section 127(1) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187941]: Section 127(4) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187951]: Section 128(1) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187961]: Section 128(3) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187971]: Section 129 was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23187981]: Section 130(1) was amended by paragraph 9(4) of Schedule 9 to the Financial Services Act 2012.

[^c23187991]: 2012 c. 21.

[^c23188001]: 1993 c. 36.

[^c23188011]: Section 130(5) was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23188021]: Section 130A was amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23188031]: Section 131A(2) was inserted by S.I. 2005/381.

[^c23188041]: Section 131A(4) was inserted by S.I. 2005/381 and further amended by paragraph 9(1) and (2) of Schedule 9 to the Financial Services Act 2012.

[^c23188051]: 1996 c. 18; section 230 was amended by section 15(1) of the Public Interest Disclosure Act 1989 (c.23), paragraph 41 of Schedule 7 to the Children and Families Act 2014 (c.6) and by section 149(3) of the Small Business, Enterprise and Employment Act 2015 (c.26).

[^c23188061]: Section 313 was amended by S.I. 2007/126, paragraph 36(3) of Schedule 8 to the Financial Services Act 2012 (c.21) and by S.I. 2013/504 and 2014/892.

[^c23188071]: Section 1H was inserted by section 6(1) of the Financial Services Act 2012 and further amended by S.I. 2013/1881; there are other amending instruments but none is relevant.

[^c23188081]: OJ No L 173, 14.04.2014, p31.

[^c23188091]: OJ No L 145, 30.04.2004, p1.

[^c23188101]: Section 1D(2)(c) was inserted by section 6(1) of the Financial Services Act 2012.

[^c23188111]: Section 55J(7) was inserted by section 11(2) of the Financial Services Act 2012.

[^c23188121]: Section 133(7A)(h) was inserted by section 23(2)(c) of the Financial Services Act 2012.

[^c23188131]: Section 137Q(2)(a) was inserted by section 24(1) of the Financial Services Act 2012.

[^c23188141]: Section 137Q(3) was inserted by section 24(1) of the Financial Services Act 2012.

[^c23188151]: Section 137Q(4) was inserted by section 24(1) of the Financial Services Act 2012.

[^c23188161]: Section 139A(4) was inserted by section 24(1) of the Financial Services Act 2012.

[^c23188171]: Section 140A(1) was inserted by section 24(1) of the Financial Services Act 2012 and the definition of “regulating provisions” was further amended by paragraph 10(a) and (b) of Schedule 3 to the Pensions Act 2013 (c.8); there are other amending instruments but none is relevant.

[^c23188181]: Section 168(1)(b) was amended by paragraph 8(2)(b) of Schedule 12 to the Financial Services Act 2012.

[^c23188191]: Section 168(4)(ja) was amended by S.I. 2013/1773.

[^c23188201]: Section 174(2) was amended by paragraph 12 of Schedule 12 to the Financial Services Act 2012.

[^c23188211]: Section 167 was amended by S.I. 2007/126, paragraph 7(2) and (3) of Schedule 12 to the Financial Services Act 2012, and by S.I. 2015/575.

[^c23188221]: Section 168 was amended by S.I. 2007/126, paragraph 33(3) of Schedule 7 to the Counter-Terrorism Act 2008 (c.28), paragraph 16(2) and (3) of Schedule 2 to the Financial Services Act 2010, paragraph 8(2)(a) to (c), (3)(a) and (b), (4)(a) to (g), (5), and (6) of Schedule 12 to the Financial Services Act 2012, S.I. 2012/2554 and 2013/1773, paragraph 11 of Schedule 3 to the Pension Schemes Act 2015 (c.8), and 2016/225.

[^c23188231]: Section 169 was amended by S.I. 2011/1043 and by paragraph 9(2) to (9) of Schedule 12 to the Financial Services Act 2012.

[^c23188241]: Section 206A was inserted by section 9 of the Financial Services Act 2010 and subsection (1A) was inserted by paragraph 13(3) of Schedule 9 to the Financial Services Act 2012.

[^c23188251]: Section 381(1) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^c23188261]: Section 381(2) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^c23188271]: Section 381(3) was amended by paragraph 20(2) of Schedule 9 to the Financial Services Act 2012.

[^c23188281]: Section 383(1) was amended by paragraph 22 of Schedule 9 to the Financial Services Act 2012.

[^c23188291]: OJ No L 173, 14.04.2014, p31.

[^c23188301]: Section 384(2) was amended by paragraph 23(2)(a) of Schedule 9 to the Financial Services Act 2012.

[^c23188311]: Section 384(5) was amended by paragraph 23(4)(a) and (b) of Schedule 9 to the Financial Services Act 2012.

[^c23188321]: Section 384(4) was amended by paragraph 23(3) of Schedule 9 to the Financial Services Act 2012.

[^c23188331]: Section 391(7B) was inserted by S.I. 2012/916.

[^c23188341]: Section 391(8A) was inserted by S.I. 2014/2879.

[^c23188351]: Section 395(13)(ba) was inserted by S.I. 2005/381.

[^c23188361]: Section 395(13)(bb) was inserted by S.I. 2005/1433.

[^c23188371]: Section 398(1A)(e) was inserted by S.I. 2013/1773.

[^c23188381]: Section 398(1A)(f) was inserted by S.I. 2015/1882.

[^c23188391]: Section 415B(3)(c) was inserted by paragraph 41 of Schedule 9 to the Financial Services Act 2012.

[^c23188401]: Paragraph 8(3)(b) of Schedule 1ZA was inserted by paragraph 1 of Schedule 3 to the Financial Services Act 2012 and amended by paragraph 16(a) of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c.33).

[^c23188411]: Paragraph 5 of Schedule 1 was amended by S.I. 2001/3649 and 2005/381 and by paragraph 76 of Schedule 18 to the Financial Services Act 2012.

[^c23188421]: Section 137Q(1) was inserted by section 24(1) of the Financial Services Act 2012.

[^c23188431]: Paragraph 1(6) of Schedule 3A was inserted by S.I. 2007/3288 and amended by S.I. 2011/1043.

[^c23188441]: OJ No L 345, 31.12.2003, p64.

[^c23188451]: OJ No L 32, 5.2.2004, p17.

[^c23188461]: 2001 c. 16.

[^c23188471]: Section 57(1)(o) was amended by paragraph 92 of Schedule 18 to the Financial Services Act 2012.

[^c23188481]: Section 176A of the Financial Services and Markets Act 2000 was inserted by paragraph 15 of Schedule 12 to the Financial Services Act 2012.

[^c23188491]: 2002 c. 29; paragraph 1(6) was amended by S.I. 2011/1043.

[^c23188501]: S.I. 2001/995; paragraph 7A(10) of the Schedule was inserted by S.I. 2006/3386 and 2011/1043.

[^c23188511]: S.I. 2001/996.

[^c23188521]: S.I. 2001/2188.

[^c23188531]: OJ No L 173, 14.04.2014, p31.

[^c23188541]: The definition of “EEA competent authority” was amended by S.I. 2003/2066, 2006/3413 and 2013/504.

[^c23188551]: The definition of “single market restrictions” was inserted by S.I. 2012/996.

[^c23188561]: Sub-paragraph (l) was amended by S.I. 2014/3348.

[^c23188571]: Sub-paragraph (m) was inserted by S.I. 2014/3348.

[^c23188581]: Regulation 8(c) was inserted by S.I. 2013/509 and amended by 2014/3348.

[^c23188591]: Regulation 8(d) was inserted by S.I. 2014/3348.

[^c23188601]: Regulation 9(1) was amended by S.I. 2015/910, there are other amending instruments but none is relevant.

[^c23188611]: Regulation 9(2) was amended by S.I. 2013/1773 and 2014/3348.

[^c23188621]: Regulation 9(2C) was inserted by S.I. 2014/3348.

[^c23188631]: Regulation 9(3F) was inserted by S.I. 2015/910.

[^c23188641]: Regulation 11(g) was inserted by S.I. 2014/3348.

[^c23188651]: S.I. 2005/382.

[^c23188661]: S.I. 2007/3299; regulation 2(1) was amended by S.I. 2011/1043, there are other amending instruments but none is relevant.

[^c23188671]: S.I. 2011/2699.

[^c23188681]: There are amendments to section 165 to 167 which are not relevant to these Regulations.

[^c23188691]: Section 417 was amended by sections 48(1)(d) and (k) of the Financial Services Act 2012, there are other amending instruments but none is relevant.

[^c23188701]: OJ No L 173, 14.04.2014, p31.

[^c23188711]: S.I. 2013/419.

[^c23188721]: Article 2(2)(i) was inserted by S.I. 2015/1882.

[^c23188731]: Article 2(8)(e) was inserted by S.I. 2014/2879.

[^c23188741]: Article 2(9) was inserted by S.I. 2014/3348.

[^c23188751]: There are amendments to article 4(9) which are not relevant to these Regulations.

[^c23188761]: Article 5(2)(j) was inserted by S.I. 2015/1882.

[^c23188771]: Article 5(5)(i) was inserted by S.I. 2015/1882.

[^c23188781]: Article 6(2)(l) was inserted by S.I. 2015/1882.

[^c23188791]: OJ No L 173, 14.04.2014, p31.

[^key-c7291fc12f0812d19c7d078dbaaffb3e]: Words in reg. 2 inserted (19.2.2019) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(2), 6

[^key-562eca76cf5035dcc80f56276486c4d0]: Words in reg. 2 omitted (31.12.2020) by virtue of The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-3197e14e9d524686f682f8caa47503b3]: Words in reg. 2 inserted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(2)(b) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 17(c)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-39ca47ff1d7938760413f5ee3df92353]: Words in reg. 2 substituted (31.12.2020 immediately before IP completiton day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), reg. 1(4), Sch. para. 1(1), (2)(j)

[^key-4786f149029d2fc28d1020c42107e15d]: Reg. 3 omitted (31.12.2020) by virtue of The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(3); 2020 c. 1, Sch. 5 para. 1(1)

[^key-f49f888b77e9fe8d7c09f8d6a90ee0e6]: Words in reg. 4(1) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(4); 2020 c. 1, Sch. 5 para. 1(1)

[^key-6be21faa73199ae4b19615b9070c3789]: Words in reg. 6(1) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(5); 2020 c. 1, Sch. 5 para. 1(1)

[^key-3383332d87ff0f17c60cdc2723b7a0ff]: Words in reg. 7 substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(5); 2020 c. 1, Sch. 5 para. 1(1)

[^key-f3263cc1386ee307bd882672dff08288]: Words in Sch. para. 4(2) omitted (31.12.2020) by virtue of The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(7)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-fba6088db355d002105329b29e7512fa]: Words in Sch. para. 8(2) omitted (31.12.2020) by virtue of The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 7(7)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-01f55d9a1f9a8ede7498e4bacf4499a9]: Word in reg. 2 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. 21(a)

[^key-56ea72fbdf499734530a18a1b147469a]: Words in reg. 2 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. 21(b)