The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019

• (2) In paragraph (1)(a) “qualifying provision” has the meaning given by section 425C of the Act (as substituted by these Regulations).

• (3) An order under paragraph (1) may—

• (a) contain such incidental, supplemental, consequential and transitional provision as the person making it considers appropriate, and

• (b) make different provision for different cases.

• (4) Power to make an order under paragraph (1) is exercisable by statutory instrument.

• (5) A statutory instrument containing an order under paragraph (1) is subject to annulment in pursuance of a resolution of either House of Parliament.

Fees: Bank of England

207

• (1) The Bank of England may, in connection with the discharge of any of its qualifying functions, require recognised clearing houses, third country central counterparties, recognised CSDs or settlement internalisers to pay fees to the Bank.

• (2) The power of the Bank to set fees includes power to set fees for the purpose of meeting expenses incurred by it or the Financial Conduct Authority—

• (a) in preparation for the exercise by the Bank of its qualifying functions, or

• (b) for the purpose of facilitating the exercise by the Bank of those functions or otherwise in connection with their exercise by it.

• (3) It is irrelevant when the expenses were incurred.

• (4) Any fee which is owed to the Bank under this regulation may be recovered as a debt due to the Bank.

• (5) In this regulation—

• “CSD regulation” has the meaning given by section 417 of the Act,

• “recognised clearing house”, “recognised CSD” and “third country central counterparty” have the meaning given by section 285 of the Act, and

• “settlement internaliser” has the meaning given by Article 2(1)(11) of the CSD regulation.

Fees: Financial Conduct Authority

208

• (1) The Financial Conduct Authority (“the FCA”) may make rules providing for the payment to it of such fees, in connection with the discharge of any of its qualifying functions, as it considers will (taking account of its expected income from fees and charges provided for by any provision of the Act other than sections 137SA, 137SB and 333T ) enable it—

• (a) to meet expenses incurred in carrying out the functions conferred on it by or under the Act , other than its excepted functions, or for any incidental purpose,

• (b) to repay the principal of, and pay any interest on, any relevant borrowing and to meet relevant commencement expenses, and

• (c) to maintain adequate reserves.

• (2) It is irrelevant when the expenses mentioned in paragraph (1)(a) were incurred.

• (3) The “excepted functions” of the FCA are—

• (a) its functions under sections 137SA and 137SB of the Act, and

• (b) its functions under section 333T of the Act so far as relating to the collection of payments.

• (4) In paragraph (1)(b) “relevant borrowing” and “relevant commencement expenses” have the meaning given by paragraph 23(3) and (5) of Schedule 1ZA to the Act .

• (5) In fixing the amount of any fee which is to be payable to the FCA, no account is to be taken of any sums which the FCA receives, or expects to receive, by way of penalties imposed by it under the Act.

• (6) Any fee which is owed to the FCA under any provision made under this regulation may be recovered as a debt due to the FCA.

• (7) Chapter 2 of Part 9A of the Act (rules: procedural provisions etc) applies in relation to rules under this regulation as it applies in relation to rules under paragraph 23 of Schedule 1ZA to the Act.

• (8) The requirements of sections 138I and 138K of the Act in so far as they apply to a proposal to make rules under this regulation may be satisfied by things done (wholly or in part) before the date on which this regulation comes into force.

Fees: Prudential Regulation Authority

209

• (1) The Prudential Regulation Authority (“the PRA”) may make rules providing for the payment to it of such fees, in connection with the discharge of any of its qualifying functions, as it considers will (taking account of its expected income from fees and charges provided for by any provision of the Act) enable it—

• (a) to meet expenses incurred in carrying out the functions conferred on it by or under the Act or for any incidental purpose,

• (b) to repay the principal of, and pay any interest on, any relevant borrowing and to meet relevant commencement expenses, and

• (c) to maintain adequate reserves.

• (2) It is irrelevant when the expenses mentioned in paragraph (1)(a) were incurred.

• (3) In paragraph (1)(b) “relevant borrowing” and “relevant commencement expenses” have the meaning given by paragraph 31(3) and (5) of Schedule 1ZB to the Act .

• (4) In fixing the amount of any fee which is to be payable to the PRA, no account is to be taken of any sums which the PRA receives, or expects to receive, by way of penalties imposed by it under the Act.

• (5) Any fee which is owed to the PRA under any provision made under this regulation may be recovered as a debt due to the PRA.

• (6) Chapter 2 of Part 9A of the Act (rules: procedural provisions etc) applies in relation to rules under this regulation as it applies in relation to rules under paragraph 31 of Schedule 1ZB to the Act.

• (7) The requirements of sections 138J and 138K of the Act in so far as they apply to a proposal to make rules under this regulation may be satisfied by things done (wholly or in part) before the date on which this regulation comes into force.

Signed

Mike Freer — Rebecca Harris — Two of the Lords Commissioners of Her Majesty's Treasury — 2019-03-22

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) by section 1 of the European Economic Area Act 1993 (c.51), regulations may be made under section 2(2) of the European Communities Act 1972 to implement obligations of the United Kingdom created or arising by or under the Agreement on the European Economic Area signed at Oporto on 2nd May 1993 (Cm 2073) and the Protocol adjusting the Agreement signed in Brussels on 17th March 1993 (Cm 2183). Paragraph 1A was inserted into Schedule 2 by section 28 of the Legislative and Regulatory Reform Act 2006 (c.51). The European Communities Act 1972 is repealed with effect from exit day by section 1 of the European Union (Withdrawal) Act 2018.

[^f00003]: 2018 c.16.

[^f00004]: S.I. 2013/419.

[^f00005]: S.I. 2013/3116.

[^f00006]: 2000 c.8.

[^f00007]: Part 1A of the Financial Services and Markets Act 2000 (comprising sections 1A to 3S) was substituted by section 6 of the Financial Services Act 2012 (c.21).

[^f00008]: Section 1H was inserted by section 6(1) of the Financial Services Act 2012 and was amended by sections 27(1), (2)(a) and (2)(b) of the Financial Guidance and Claims Act 2018 (c.10) and S.I. 2013/655, 2013/1881, 2013/3115, 2017/752 and 2018/135.

[^f00009]: This definition was amended by S.I. 2013/3115.

[^f00010]: S.I. 2001/544.

[^f00011]: Section 1L was amended by S.I. 2013/1773.

[^f00012]: Section 2AB was substituted by section 12 of the Bank of England and Financial Services Act 2016 (c.14) and amended by S.I. 2018/1115.

[^f00013]: Subsection (3)(d) was amended by S.I. 2018/1115.

[^f00014]: Section 3E was substituted by section 6(1) of the Financial Services Act 2012.

[^f00015]: Section 3I was amended by sections 3(a), (b) and 129 and paragraphs 1 and 4 of Part 1 to Schedule 8 to the Financial Services (Banking Reform) Act 2013 (c.33).

[^f00016]: Section 3J was substituted by section 6(1) of the Financial Services Act 2012.

[^f00017]: Section 3M was amended by S.I. 2013/3115 and 2014/3329.

[^f00018]: In the Interpretation Act 1978 (c.30), “subordinate legislation” has the meaning given by section 21(1) of that Act.

[^f00019]: Subsection (1A) was inserted by S.I. 2007/126 and has been amended by S.I. 2015/910 and 2017/701.

[^f00020]: Subsection (1AA) was inserted by S.I. 2017/701.

[^f00021]: Subsection (1B) was inserted by S.I. 2007/126 and was amended by paragraph 5 of Schedule 18 to the Financial Services Act 2012 and by S.I. 2017/701.

[^f00022]: Subsection (1BA) was inserted by S.I. 2015/910.

[^f00023]: Subsection (4) was substituted by paragraph 1 of Schedule 18 to the Financial Services Act 2012.

[^f00024]: Subsection (7) was inserted by S.I. 2007/126 and has been amended by S.I. 2017/701.

[^f00025]: Subsection (8) was amended by S.I. 2013/3115 and 2017/701.

[^f00026]: Part 3A was inserted by S.I. 2018/1403.

[^f00027]: Section 39A was inserted by S.I. 2007/126.

[^f00028]: Subsection (6)(c) was substituted by S.I. 2017/701.

[^f00029]: Subsection (6)(d) was amended by S.I. 2017/701.

[^f00030]: Subsection (8) was amended by S.I. 2017/701.

[^f00031]: This definition was amended by S.I. 2017/701.

[^f00032]: Part 4A was inserted by section 11(2) of the Financial Services Act 2012.

[^f00033]: Relevant amending instruments are S.I. 2013/1773, S.I. 2013/3115, S.I. 2015/910, S.I. 2015/1882 and S.I. 2016/680.

[^f00034]: Section 55KA was inserted by S.I. 2015/575.

[^f00035]: Section 55PA was inserted by S.I. 2015/575.

[^f00036]: There are other amending instruments but none is relevant.

[^f00037]: Subsections (4) to (6) were inserted by S.I. 2013/3115; subsections (7) to (9) were inserted by S.I. 2017/701; there are other amending instruments but none is relevant.

[^f00038]: Section 55Z2 was amended by S.I. 2013/3115 and S.I. 2015/486; section 55Z2A was inserted by S.I. 2013/3115.

[^f00039]: Subsection (8) was amended by S.I. 2012/1906.

[^f00040]: Section 63E was inserted by section 29 of the Financial Services (Banking Reform) Act 2013.

[^f00041]: Section 66A was inserted by section 32(2) of the Financial Services (Banking Reform) Act 2013.

[^f00042]: Section 66B was inserted by section 32(2) of the Financial Services (Banking Reform) Act 2013.

[^f00043]: Section 71I was inserted by S.I. 2016/1239.

[^f00044]: Subsection (2) was amended by S.I. 2007/3253 and paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00045]: Subsection (3) was amended by S.I. 2007/3253 and paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00046]: Subsection (4) was amended by S.I. 2007/3253.

[^f00048]: Subsection (9) was amended by S.I. 2008/1468 and paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00049]: Section 114A was inserted by S.I. 2007/3253.

[^f00050]: Part 9A of the Financial Services and Markets Act 2000 (consisting of sections 137A to 141A) was inserted by section 24(1) of the Financial Services Act 2012.

[^f00051]: Subsection (6) was substituted by S.I. 2014/3348.

[^f00052]: Subsection (5) was amended by S.I. 2014/3348.

[^f00053]: Subsection (3A) was substituted by S.I. 2016/680.

[^f00054]: Subsection (5) was inserted by S.I. 2016/680.

[^f00055]: Subsection (5)(b) was amended by S.I. 2015/910, 2017/701 and 2018/546.

[^f00056]: Subsection (5) was amended by S.I. 2015/910, 2017/701 and 2018/546.

[^f00057]: Commission Delegated Directive (EU) 2017/593 was published at OJ No. L 87, 31.3.2017, p 500 – 517.

[^f00058]: Section 138K was inserted by section 24(1) of the Financial Services Act 2012.

[^f00059]: Subsection (5) was amended. None of these amendments is relevant.

[^f00060]: Subsection (4) was inserted by S.I. 2016/680.

[^f00061]: Section 165A was inserted by sections 18 (1) and (2) of the Financial Services Act 2010 (c. 28) and was amended by section 41 of, and paragraphs 2(a), (b) of Part 1 of Schedule 12 to, the Financial Services Act 2012 and section 16 of, and paragraphs 26, 37(1), (2)(a), (2)(b), (3) of Part 2 of Schedule 2 to, the Bank of England and Financial Services Act 2016 (c. 14) and S.I. 2017/1255.

[^f00062]: S.I. 2001/544.

[^f00063]: Subsection (9) was amended by S.I. 2017/1255.

[^f00064]: Subsection (3A) was inserted by S.I. 2015/575.

[^f00065]: Paragraph (jc) was substituted by S.I. 2017/1255.

[^f00066]: Paragraph (k) was substituted by section 41 of, and paragraphs 8(1) and (4)(g) of Part 1 of Schedule 12 to, the Financial Services Act 2012.

[^f00067]: Subsection (3) was amended by section 41 of, and paragraphs 9(1) and (3) of Part 1 of Schedule 12 to, the Financial Services Act 2012 and S.I. 2011/1043.

[^f00068]: Subsection (6) was substituted by section 41 of, and paragraphs 9(1) and (5) of Part 1 of Schedule 12 to, the Financial Services Act 2012 and S.I. 2011/1043.

[^f00069]: Section 169A was inserted by sections 18(1) and (3) of the Financial Services Act 2010.

[^f00070]: Section 184 was substituted by S.I. 2009/534.

[^f00071]: Section 184(4)(a) was substituted by S.I. 2017/701.

[^f00072]: Section 184(7) was amended by S.I. 2011/1613.

[^f00073]: Section 184(9A) was inserted by S.I. 2015/1755.

[^f00074]: Section 186 was substituted by S.I. 2009/534.

[^f00075]: S.I. 2017/692.

[^f00076]: Section 188(1) was substituted by section 26(2) of the Financial Services Act 2012 (c. 21) and S.I. 2009/534 and 2013/3115.

[^f00077]: Section 189 was inserted by S.I. 2009/534. Subsection (1A) was inserted by S.I. 2014/3329, and subsection (1ZB) by paragraph 39 of Schedule 2 to the Bank of England and Financial Services Act 2016.

[^f00078]: Section 190 was substituted by S.I. 2009/534.

[^f00079]: Section 190(4)(a) was amended by S.I. 2011/1043.

[^f00080]: Section 190(4)(b) was substituted by S.I. 2015/575.

[^f00081]: Section 190A was inserted by S.I. 2016/1239.

[^f00082]: Section 191A was substituted by S.I. 2009/534; subsection (5) was amended by section 26(2) of the Financial Services Act 2012.

[^f00083]: Section 191G was substituted by S.I. 2009/534.

[^f00084]: The definition of “credit institution” in section 191G(1) was amended by S.I. 2013/3115.

[^f00085]: S.I. 2019/325.

[^f00086]: Section 192C was inserted by section 27 of the Financial Services Act 2012.

[^f00087]: Section 192JB was inserted by section 133(1) of the Financial Services (Banking Reform) Act 2013 (c. 33) and was amended by S.I. 2014/3329.

[^f00088]: Section 192K as inserted by section 27 of the Financial Services Act 2012.

[^f00089]: Subsection (1) was inserted by S.I. 2014/3329 and section 133(2)(a) of the Financial Services (Banking Reform) Act 2013.

[^f00090]: Section 204A was inserted by section 37(1) of, and paragraph 1 of Part 1 and paragraph 10 of Part 4 of Schedule 9 to, the Financial Services Act 2012.

[^f00091]: Subsection (2) was amended by S.I. 2013/1773 and 2016/255.

[^f00092]: 2000 c. 8. Section 327(1)(aa), (7A) and (7B) were inserted by S.I. 2017/701. Section 328(6) was substituted by S.I. 2003/1473 and amended by paragraph 2 of Schedule 16 to the Financial Services Act 2012 (c. 21), S.I. 2011/1043, S.I. 2013/1881 and S.I. 2018/546.

[^f00093]: Subsection (8) was inserted by S.I. 2013/3115.

[^f00094]: Section 343 was amended by section 42 of, and paragraphs 1, 5(1), (2)(a), (2)(b), (3)(a), (3)(b), (3)(c), (4), (5), (6) and (7) of Part 1 of Schedule 13 to, the Financial Services Act 2012 and S.I. 2013/3115.

[^f00095]: Subsection (10) was inserted by S.I. 2013/3115.

[^f00096]: Section 380 was amended by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 19(1), (2), (3)(a), (3)(b), (3)(c), (4) and (5) of Part 5 of Schedule 9 to, the Financial Services Act 2012, section 141 of, and paragraphs 3(1) and (2) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013, S.I. 2013/1773, 2015/1755 and 2016/225.

[^f00097]: Subsection (6) was amended by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 19(1), (3)(a), (3)(b), (3)(c) of Part 5 of Schedule 9 to, the Financial Services Act 2012, section 141 of, and paragraphs 3(1) and (2) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013, S.I. 2013/1773, 2015/1755 and 2016/225.

[^f00098]: Subsection (9) was inserted by section 37(1) of, and paragraph1 of Part 1 and paragraphs 19(1) and (5) of Part 5 of Schedule 9 to, the Financial Services Act 2012.

[^f00099]: Section 382 was amended by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 21(1), (2), (3), (4), (5)(a), (5)(b), (5)(c), (6), (7) of Part 5 of Schedule 9 to, the Financial Services Act 2012, section 141 of, and paragraphs 3(1), (3) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013 and S.I. 2013/1773.

[^f00100]: Subsection (9)(a)(i) was amended by S.I. 2013/1773.

[^f00101]: Subsection (12) was inserted by section 37(1), and paragraph 1 of Part 1 and paragraphs 21(1) and (7) of Part 5 of Schedule 9 to, the Financial Services Act 2012.

[^f00102]: Section 384 was amended by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 23(1), (2)(a), (2)(b), (4)(a), (4)(b), (5), (6)(a), (6)(b), (7), (8), (9) and (10) of Part 5 of Schedule 9 to, the Financial Services Act 2012, section 141 of, and paragraphs 3(1) and (4) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013, S.I. 2007/126 and 2016/680.

[^f00103]: Subsection (7) was amended by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 23(1), (6)(a) and (6)(b) of Part 5 of Schedule 9 to, the Financial Services Act 2012, section 141 of, and paragraphs 3(1) and (4) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013 and S.I. 2007/126.

[^f00104]: Subsection (10) was inserted by section 37(1) of, and paragraph 1 of Part 1 and paragraphs 23(1) and (8) of Part 5 of Schedule 9 to, of the Financial Services Act 2012.

[^f00105]: Section 391 was amended by sections 13(1) and (3), 24(1) and (2) of, and paragraphs 1 and 28 of Part 1 of Schedule 2 to, the Financial Services Act 2010, sections 24(2) and 37(1) of, and paragraph 1 of Part 1 and paragraphs 30(1), (2), (3), (4)(a), (4)(b), (5), (6), (7), (8) of Part 6 of Schedule 9 to, the Financial Services Act 2012, section 4(3) of the Financial Services (Banking Reform) Act 2013, S.I. 2012/916, 2013/1388, 2013/3115, 2014/2879, 2015/1755, 2016/225, 2016/680, 2016/715, 2017/701, 2017/1127 and 2018/135.

[^f00106]: Subsection (7A) was inserted by S.I. 2012/916 and amended by section 37(1) of, paragraph 1 of Part 1 and paragraphs 30(1) and (8) of Part 6 of Schedule 9 to, the Financial Services Act 2012.

[^f00107]: Subsection (7B) was inserted by S.I. 2012/916 and amended by S.I. 2016/680 and 2017/701.

[^f00108]: Subsection (8A) was inserted by S.I. 2014/2879.

[^f00109]: Subsection (8B) was inserted by S.I. 2016/680.

[^f00110]: Subsection (8D) was inserted by S.I. 2017/1127.

[^f00111]: Subsection (8E) was inserted by S.I. 2018/135.

[^f00112]: Subsection (8F) was inserted by S.I. 2018/1288.

[^f00113]: Section 391A was inserted by S.I. 2013/3115 and amended by S.I. 2015/1755.

[^f00114]: Subsection (6) was amended by section 211(1)(a) of, and paragraphs 48 and 50 of Part 1 of Schedule 19 to, the Data Protection Act 2018 (c. 12).

[^f00115]: Section 391B was inserted by S.I. 2015/1755.

[^f00116]: Section 391C was inserted by S.I. 2016/225 and amended by section 211(1)(a) of, and paragraphs 48 and 51 of Part 1 of Schedule 19 to, the Data Protection Act 2018.

[^f00117]: Subsection (7) was amended by section 211(1)(a) of, and paragraphs 48 and 51 of Part 1 of Schedule 19 to, the Data Protection Act 2018.

[^f00118]: Section 391D was inserted by S.I. 2017/701 and amended by S.I. 2018/625.

[^f00119]: Subsection (9) was amended by section 211(1)(a) of, and paragraphs 48 and 52 of Part 1 of Schedule 19 to, the Data Protection Act 2018.

[^f00120]: Section 391E was inserted by S.I. 2018/546.

[^f00121]: Section 398 was amended by section 37(1) of, and paragraph 1 of part 1 and paragraphs 36(1) and (3) of Part 7 of Schedule 9 to, the Financial Services Act 2012, S.I. 2013/1773, 2015/1882, 2016/680, 2017/701, 2018/135 and 2018/698.

[^f00122]: Subsection (1A) was amended by S.I. 2013/1773, 2015/1882, 2016/680, 2017/701, 2018/135 and 2018/698.

[^f00123]: Section 404E was inserted by section 14(1) of the Financial Services Act 2010.

[^f00124]: Section 410 was amended by sections 16(1), 16(14)(i) and 47 of the Financial Services Act 2012, S.I. 2011/1043 and 2017/1064.

[^f00125]: Subsection (1) was amended by S.I. 2011/1043.

[^f00126]: This definition was inserted by S.I. 2013/3115.

[^f00127]: This definition was inserted by S.I. 2017/1064.

[^f00128]: This definition was inserted by S.I. 2014/2879.

[^f00129]: This definition was inserted by S.I. 2015/575.

[^f00130]: This definition was inserted by S.I. 2016/680.

[^f00131]: This definition was inserted by S.I. 2015/575.

[^f00132]: This definition was inserted by S.I. 2012/2554.

[^f00133]: This definition was inserted by S.I. 2015/575.

[^f00134]: This definition was inserted by S.I. 2012/916.

[^f00135]: This definition was inserted by S.I. 2018/546.

[^f00136]: This definition was inserted by S.I. 2015/910.

[^f00137]: This definition was inserted by S.I. 2015/910.

[^f00138]: This definition was inserted by S.I. 2015/910.

[^f00139]: Amendments of section 418 are made by S.I. 2013/1797 but these are not in force.

[^f00140]: Subsection (1) was amended by S.I. 2014/1292.

[^f00141]: Subsection (3)(b) was amended by S.I. 2011/1043.

[^f00143]: Subsection (7) was inserted by S.I. 2012/1906.

[^f00144]: Subsection (8) was inserted by S.I. 2014/1292.

[^f00145]: OJ L 182, 29.6.2013, p. 19-76.

[^f00146]: Section 422A was substituted by S.I. 2009/534.

[^f00147]: Section 422A(4)(a) was amended by S.I. 2017/701.

[^f00148]: Section 422A(7) was amended by S.I. 2011/1613.

[^f00149]: Section 422A(9A) was inserted by S.I. 2015/1755.

[^f00150]: Subsection (10) was amended by S.I. 2012/3115.

[^f00151]: Section 424A was inserted by S.I. 2006/2975.

[^f00152]: Subsection (3) was substituted by S.I. 2007/126.

[^f00153]: Subsection (5) was amended by S.I. 2017/701.

[^f00154]: Section 425A was inserted by paragraph 32 of Schedule 2 to the Financial Services Act 2010.

[^f00155]: Subsection (7) was amended by S.I. 2013/3115.

[^f00156]: The definition of “credit institution” was amended by S.I. 2013/3115.

[^f00157]: Section 425C was inserted by section 48(3) of the Financial Services Act 2012.

[^f00158]: Schedule 1ZA was inserted by section 6(2) of, and Schedule 3 to, the Financial Services Act 2012.

[^f00159]: Paragraph 23 was amended by section 129 of, and paragraphs 1, 7(1) and (3) of Part 1 of Schedule 8 to, the Financial Services (Banking Reform) Act 2013, section 47 of, and paragraphs 1 and 16(a) of Schedule 3 to, section 47 of, and paragraphs 1, 16(b), (c), (d) of Schedule 3 to, the Pension Schemes Act 2015 (c. 8), sections 29(1), (6)(a), (6)(b) of the Bank of England and Financial Services Act 2016 (c. 14), section 25 of, and paragraphs 5, 21(1), (5)(a)(i), (5)(a)(ii), (5)(a)(iii), (5)(b)(i), (5)(b)(ii), (5)(b)(iii), (5)(b)(iv) of Schedule 3 to, the Financial Guidance and Claims Act 2018 (c. 10), and S.I. 2013/1773.

[^f00160]: Schedule 1ZB was inserted by section 6(2) of, and Schedule 3 to, the Financial Services Act 2012.

[^f00161]: Paragraph 31 was amended by section 16 of, and paragraphs 26, 50(1) and (7)(b) of Part 2 of Schedule 2 to, the Bank of England and Financial Services Act 2016.

[^f00162]: Schedule 6 was substituted by S.I. 2013/555.

[^f00163]: Paragraph 4A(6) was inserted by S.I. 2017/1212.

[^f00164]: Paragraph 1 was amended by S.I. 2007/3253 and 2015/575 and paragraph 10 of Schedule 6 to the Financial Services Act 2012 and paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013 (c. 33).

[^f00165]: Sub-paragraph (1)(b) was amended by paragraph 11(2)(a) of Schedule 6 to the Financial Services Act 2012.

[^f00166]: Sub-paragraph (3) was amended by paragraph 11(2)(b) and 11(3) of Schedule 6 to the Financial Services Act 2012.

[^f00167]: Paragraph (a) was amended by S.I. 2007/3253; paragraph (aa) was substituted by S.I. 2015/575.

[^f00168]: Paragraph (c) was amended by S.I. 2007/3253.

[^f00169]: Paragraphs (c)(i) and (ii) were substituted by paragraph 11(4) of Schedule 6 to the Financial Services Act 2012.

[^f00170]: Sub-paragraphs (7A) and (9) were substituted by S.I. 2015/575.

[^f00171]: Paragraph 3A was inserted by S.I. 2015/575; paragraph 5A was inserted by S.I. 2007/3253.

[^f00172]: Paragraph 7 was amended by paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00173]: Sub-paragraphs (a) and (aa) were substituted by paragraph 16(a) of Schedule 6 to the Financial Services Act 2012. Sub-paragraph (c) was amended by paragraph 16(b) of Schedule 6 to the Financial Services Act 2012.

[^f00174]: Paragraph 9 was amended by paragraph 17 of Schedule 6 to the Financial Services Act 2012 and paragraph 2 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00175]: Paragraph 9B was inserted by paragraph 13 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00176]: Paragraph 9C was inserted by paragraph 13 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00177]: Paragraph 9D was inserted by paragraph 13 of Schedule 1 to the Financial Services (Banking Reform) Act 2013.

[^f00178]: Sub-paragraph (2) was amended by S.I. 2007/3253 and paragraph 19(2) of Schedule 6 to the Financial Services Act 2012; sub-paragraph (3) was substituted by S.I. 2015/575.

[^f00179]: Sub-paragraph (4) was substituted by S.I. 2015/575.

[^f00180]: Schedule 17A was inserted by paragraph 1 of Schedule 7 to the Financial Services Act 2012.

[^f00181]: Sub-paragraph (1)(ab) was inserted by S.I. 2017/1064; sub-paragraph (2)(d) was inserted by S.I. 2013/504 and amended by S.I. 2014/2879 and 2016/715.

[^f00182]: Paragraph 22 was amended by S.I. 2017/1064.

[^f00183]: Sub-paragraph (1) was renumbered by paragraph 51(4) of Schedule 2(2) to the Bank of England and Financial Services Act 2016 (c. 14) and amended by S.I. 2017/1064.

[^f00184]: Sub-paragraph (a) was amended by S.I. 2017/1064.

[^f00185]: Sub-paragraph (1) was amended by S.I. 2013/504, 2017/1064 and 2018/1184. Sub-paragraph (2)(b) was amended by S.I. 2018/1115.

[^f00186]: S.I. 2001/544.

[^f00187]: This definition was inserted by S.I. 2012/1906.

[^f00188]: This definition was inserted by S.I. 2012/1906.

[^f00189]: This definition was inserted by S.I. 2013/1773.

[^f00190]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2013/3115 and 2017/488.

[^f00191]: This definition was inserted by S.I. 2012/1906.

[^f00192]: This definition was inserted by S.I. 2012/1906.

[^f00193]: This definition was substituted by S.I. 2012/1906 and was amended by S.I. 2017/488.

[^f00194]: This definition was inserted by S.I. 2012/1906.

[^f00195]: These definitions were inserted by S.I. 2013/1906.

[^f00196]: This definition was inserted by S.I. 2013/1773.

[^f00197]: This definition was inserted by S.I. 2013/1773.

[^f00198]: This definition was amended by S.I. 2015/575.

[^f00199]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00200]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2013/3115, 2015/910 and 2017/488.

[^f00201]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00202]: This definition was substituted by S.I. 2011/1613.

[^f00203]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00204]: This definition was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00205]: This definition was inserted by S.I. 2017/488.

[^f00206]: 2014 c.14.

[^f00207]: S.I. 1985/1205 (N.I. 12).

[^f00208]: 1969 c. 24 (N.I.).

[^f00209]: This definition was substituted by S.I. 2016/715.

[^f00210]: Paragraph (4) was substituted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00211]: Paragraph (4A) was substituted by S.I. 2018/546.

[^f00212]: Paragraph (4B) was inserted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00213]: Paragraph (5) was substituted by S.I. 2018/546.

[^f00214]: Part 6 is inserted by these Regulations.

[^f00215]: Paragraph (x) was amended by S.I. 2011/1043.

[^f00216]: Article 9B was inserted by S.I. 2002/682 and was amended by S.I. 2011/99.

[^f00217]: Article 9C was inserted by S.I. 2002/682, and paragraph (2) was amended by S.I. 2013/3115.

[^f00218]: Article 24A was inserted by S.I. 2012/1906.

[^f00219]: Article 24B was inserted by S.I. 2012/1906.

[^f00220]: Article 33B was inserted by S.I. 2018/546.

[^f00221]: Sub-paragraph (ba) was inserted by S.I. 2013/504.

[^f00222]: Sub-paragraph (bb) was inserted by S.I. 2017/1064.

[^f00223]: Article 35A was inserted by S.I. 2013/504 and has been amended by S.I. 2016/715.

[^f00224]: S.I. 2019/628.

[^f00225]: Article 42A was inserted by S.I. 2013/1773.

[^f00226]: Article 51ZA was inserted by S.I. 2013/1773.

[^f00227]: Article 72H was inserted by S.I. 2014/366.

[^f00228]: Article 51ZB was inserted by S.I. 2013/1773.

[^f00229]: Article 51ZD was inserted by S.I. 2013/1773.

[^f00230]: Article 51ZG was inserted by S.I. 2013/1773.

[^f00231]: Article 53DA was inserted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00232]: Paragraph (1)(b)(va) was inserted by S.I. 2015/910.

[^f00233]: Article 60D was inserted by S.I. 2013/1881, paragraph (4) was inserted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00234]: Article 60E was inserted by S.I. 2013/1881.

[^f00235]: Article 60G was inserted by S.I. 2013/1881.

[^f00236]: Paragraph (2A) was inserted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00237]: Paragraph (8) was inserted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00238]: Article 60H was inserted by S.I. 2013/1881.

[^f00239]: Paragraph (1) was amended by S.I. 2015/910 and S.I. 2016/392.

[^f00240]: Paragraph (2) was inserted by S.I. 2015/910.

[^f00241]: Article 60HA was inserted by S.I. 2015/910.

[^f00242]: Paragraph (1) was amended by S.I. 2016/392.

[^f00243]: Article 60JA was inserted by S.I. 2014/366 and was amended by S.I. 2017/752.

[^f00244]: S.I. 2018/1201.

[^f00245]: S.I. 2017/752.

[^f00246]: Article 60JB was inserted by S.I. 2014/366 and was amended by S.I. 2017/752.

[^f00247]: S.I. 2011/99.

[^f00248]: Paragraph (3)(a) was substituted by S.I. 2015/910 and amended by S.I. 2016/392.

[^f00249]: Article 61A was inserted by S.I. 2105/910, and the definition of “exempt housing authority loan” was inserted by S.I. 2016/392.

[^f00250]: This definition was inserted by S.I. 2016/392.

[^f00251]: Paragraph (8) was inserted by S.I. 2006/3384.

[^f00252]: Paragraph (10) was inserted by S.I. 2015/910.

[^f00253]: Paragraph (9A) was inserted by S.I. 2017/1064.

[^f00254]: Paragraph (11) was inserted by S.I. 2017/488.

[^f00255]: Paragraph (12) was inserted by S.I. 2017/488.

[^f00256]: Article 72AA was inserted by S.I. 2013/1773.

[^f00257]: Article 9AA was inserted by S.I. 2002/1776 and was amended by S.I. 2013/1773.

[^f00258]: Article 12A was inserted by S.I. 2002/1776 and was amended by S.I. 2013/1773.

[^f00259]: Article 20 was amended (so far as relevant) by S.I. 2014/366.

[^f00260]: Article 39C was inserted by S.I. 2003/1476 and was amended (so far as relevant) by S.I. 2013/1773.

[^f00261]: Article 51A was inserted by S.I. 2002/1776 and was amended (so far as relevant) by S.I. 2013/1773.

[^f00262]: Article 52A was inserted by S.I. 2002/1776 and was amended by S.I. 2013/1773 and 2014/366.

[^f00263]: Article 58A was inserted by S.I. 2002/1776 and was amended by S.I. 2013/1773.

[^f00264]: Article 60A was inserted by S.I. 2002/1776 and was amended by S.I. 2013/1773.

[^f00265]: Article 63A was substituted by S.I. 2003/1475 and was amended by S.I. 2013/1773 and 2014/366.

[^f00266]: Article 63E was inserted by S.I. 2006/2383 and was amended by S.I. 2013/1773 and 2014/366.

[^f00267]: Article 63I was inserted by S.I. 2006/2383 and was amended by S.I. 2013/1773 and 2014/366.

[^f00268]: Article 63M was inserted by S.I. 2009/1342 and was amended by S.I. 2014/366.

[^f00269]: Article 72D was inserted by S.I. 2003/1476.

[^f00270]: Article 24 was amended by S.I. 2013/1476, 2013/1773 and 2014/366.

[^f00271]: Article 36 was inserted by S.I. 2003/1475 and was amended by S.I. 2003/1476, 2013/1773 and 2014/366.

[^f00272]: Article 39C was inserted by S.I. 2003/1476 and was amended by S.I. 2013/1773 and 2014/366.

[^f00273]: Article 55 was inserted by S.I. 2003/1475 and was amended by S.I. 2003/1476, 2013/1773 and 2014/366.

[^f00274]: Article 72E was inserted by S.I. 2005/1518.

[^f00275]: Article 72G was inserted by S.I. 2014/366; paragraph (3B) and (7) were inserted, and paragraph (4) substituted, by S.I. 2015/910; paragraphs (3B) and (4) were amended by S.I. 2016/392.

[^f00276]: Article 77A was inserted by S.I. 2010/86.

[^f00277]: Paragraph (2)(f) was amended by S.I. 2018/831.

[^f00278]: Article 82A was inserted by S.I. 2012/1906.

[^f00279]: Article 82B was inserted by S.I. 2017/488.

[^f00280]: Paragraph (1)(e) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00281]: Paragraph (2) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00282]: Paragraph (3) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00283]: Paragraph (4) was inserted by S.I. 2006/3384 and was amended by S.I. 2011/1613 and S.I. 2017/488.

[^f00284]: Paragraph (5) was inserted by S.I. 2006/3384.

[^f00285]: Paragraph (1A), (1B) and (1C) were inserted by S.I. 2006/3384 and amended by S.I. 2017/488.

[^f00286]: Paragraph (1CA) was inserted by S.I. 2017/488.

[^f00287]: Paragraph (1D) was inserted by S.I. 2006/3384 and was amended by S.I. 2011/1613 and S.I. 2017/488.

[^f00288]: Paragraph (1E) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00289]: Paragraph (3) was inserted by S.I. 2006/3384.

[^f00290]: Paragraph (4) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00291]: Paragraph (4B) was inserted by S.I. 2017/488.

[^f00292]: Paragraph (4A) was inserted by S.I. 2017/488.

[^f00293]: Paragraph (5) was inserted by S.I. 2006/3384.

[^f00294]: Article 95 was inserted by S.I. 2003/1476, and paragraph (1A) was inserted by S.I. 2018/546.

[^f00295]: Schedule 4 was inserted by S.I. 2003/1476 and was amended by S.I. 2018/546.

[^f00296]: Schedule 8 was inserted by S.I. 2013/1773.

[^f00297]: 2006 c.46.

[^f00298]: 1993 c.48.

[^f00299]: Paragraph 11 is prospectively revoked by S.I. 2013/1797.

[^f00300]: S.I. 2013/1773.

[^f00301]: S.I. 2005/1529.

[^f00302]: 2000 c.8.

[^f00303]: Article 8A was amended by S.I. 2011/1265.

[^f00304]: S.I. 2002/2013.

[^f00305]: Paragraph (4) was inserted by S.I. 2013/1773.

[^f00306]: S.I. 2019/628.

[^f00307]: Sub-paragraph (ai) was inserted by S.I. 2015/352.

[^f00308]: Sub-paragraph (i) was amended by S.I. 2011/1265.

[^f00309]: Sub-paragraph (iii) was amended by S.I. 2011/1265 and S.I. 2015/352.

[^f00310]: Sub-paragraph (c) was amended by S.I. 2007/2615.

[^f00311]: Paragraph (1A) was inserted by S.I. 2007/2615.

[^f00312]: Sub-paragraph (2)(b) was amended by S.I. 2014/1815.

[^f00313]: Paragraph 15A was inserted by S.I. 2010/86.

[^f00314]: Sub-paragraph (2)(f) was amended by 2017/488.

[^f00315]: Paragraph 21 was amended by S.I. 2006/3384.

[^f00316]: Sub-paragraph (1)(e) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00317]: Sub-paragraph (2)(d) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00318]: Sub-paragraph (3)(c) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00319]: Sub-paragraph (4)(b) was inserted by S.I. 2006/3384 and was amended by S.I. 2011/1613 and S.I. 2017/488; sub-paragraphs (4)(c) and (d) were inserted by S.I. 2006/3384 and were amended by S.I. 2017/488.

[^f00320]: Sub-paragraph (5) was inserted by S.I. 2006/3384.

[^f00321]: Sub-paragraphs (1A), (1B) and (1C) were inserted by S.I. 2006/3384; and (1A)(d) and (1C)(c) were amended by S.I. 2017/488.

[^f00322]: Sub-paragraph (1CA) was inserted by S.I. 2017/488.

[^f00323]: Sub-paragraph (1D) was inserted by S.I. 2006/3384, sub-paragraphs (1D)(b), (c) and (d) were amended by S.I. 2017/488.

[^f00324]: Sub-paragraph (1E) was inserted by S.I. 2006/3384 and was amended by S.I. 2017/488.

[^f00325]: Sub-paragraph (3) was inserted by S.I. 2006/3384.

[^f00326]: Sub-paragraph (4A) was inserted by S.I. 2017/488.

[^f00327]: Sub-paragraphs (4)(b) to (d) were amended by S.I. 2017/488; sub-paragraph (4B) was inserted by S.I 2017/488.

[^f00328]: Sub-paragraph (5) was inserted by S.I. 2006/3384.

[^f00329]: Paragraph 23A was inserted by S.I. 2017/488.

[^f00330]: S.I. 2001/1201.

[^f00331]: Part 1 was amended by S.I. 2003/47, 2009/118 and 2011/1043.

[^f00332]: S.I. 2001/1217.

[^f00333]: Regulation 1(2) was amended by S.I. 2003/1475, 2003/1476, 2004/453, 2006/2383, 2006/3414, 2013/3115 and 2017/488.

[^f00334]: Regulation 2(1)(zb) was inserted by S.I. 2012/1906.

[^f00335]: Regulation 2(1A) was inserted by S.I. 2006/3414 and amended by S.I. 2017/488 and 2017/701.

[^f00336]: Regulation 2(1B) was inserted by S.I. 2006/3414 and amended by S.I. 2017/701.

[^f00337]: Regulation 3(1) was amended by S.I. 2006/3414.

[^f00338]: Regulation 3(1A) was inserted by S.I. 2006/3414.

[^f00339]: Regulation 3(6) was inserted by S.I. 2017/701.

[^f00340]: S.I. 2001/544.

[^f00341]: S.I. 2001/1227.

[^f00342]: Article 4(ca) was inserted by S.I. 2012/1906.

[^f00343]: Article 8 was amended by S.I. 2002/682.

[^f00344]: S.I. 2001/1420.

[^f00345]: Regulation 1(2) was amended by S.I. 2013/472 and 2014/549.

[^f00346]: Regulation 6 was amended by S.I. 2005/274 and 2013/472.

[^f00347]: S.I. 2001/2507 as amended by S.I. 2005/680 and S.I. 2013/472.

[^f00348]: Article 3 was amended by S.I. 2005/680 and 2013/472.

[^f00349]: S.I. 2001/2639; as amended by S.I. 2011/1265, 2011/1043 and 2013/472.

[^f00350]: S.I. 2001/3625; as amended by S.I. 2007/3255, 2008/1467, 2009/1390, 2011/1265, 2013/472 and 2015/575.

[^f00351]: S.I. 2001/3626; as amended by S.I. 2008/1725, 2013/472, 2013/1765.

[^f00352]: S.I. 2009/774.

[^f00353]: The definition of “relevant UK authorised person” in Article 2 was amended by S.I. 2011/1613 and 2013/3115.

[^f00354]: S.I. 2013/165.

[^f00355]: Article 1(2) was amended by S.I. 2013/3115 and 2014/3348.

[^f00356]: S.I. 2015/575, prospectively amended by S.I. 2019/407.

[^f00357]: S.I. 2004/1862.

[^f00358]: Article 2 was amended by S.I. 2014/3348.

[^f00359]: Paragraph (4) was inserted by S.I. 2014/3348.

[^f00360]: 2009 c.1. Relevant amendments to section 2 were made by S.I. 2011/2832 and by paragraph 3 of Schedule 17 to the Financial Services Act 2012. Section 7(5C) was inserted by S.I. 2014/3329, and was amended by S.I. 2016/1239.

[^f00361]: S.I. 2013/419.

[^f00362]: Article 1(2) was amended by S.I. 2013/1773, 2014/3348, 2015/1882, 2017/1127, 2018/134, 2018/135 and 2018/698.

[^f00363]: S.I. 2019/628.

[^f00364]: Chapter 2A was inserted by S.I. 2018/1115.

[^f00365]: 1978 c.30.

[^f00366]: OJ No L 337, 23.12.2015, p1.

[^f00367]: Article 2 was amended by S.I. 2013/1773, 2014/2879, 2014/3348, 2015/1882, 2016/680, 2016/715, 2016/936, 2016/1023, 2017/701, 2017/1127, 2018/135, 2018/546, 2018/698.

[^f00368]: Article 3 was amended by S.I. 2013/1773, 2014/2879, 2014/3348, 2015/1882, 2016/715, 2016/936, 2017/701, 2017/1127, 2018/135, 2018/546 and 2018/698.

[^f00369]: Article 4 was amended by S.I. 2014/2879, 2016/680, 2016/715, 2017/701, 2017/1064, and 2018/135.

[^f00370]: Article 5 was amended by S.I. 2013/1773, 2014/2879, 2014/3348, 2015/1882, 2016/680, 2016/715, 2016/936, 2017/701, 2017/1127, 2018/135, 2018/546 and 2018/698.

[^f00371]: Article 6 was amended by S.I. 2013/1773, 2014/2879, 2014/3348, 2015/1882, 2016/680, 2016/715, 2016/936, 2017/701, 2017/1127, 2018/135, 2018/546 and 2018/698.

[^f00372]: Sub-paragraph (12) was inserted by S.I. 2018/135.

[^f00373]: Sub-paragraph (13) was inserted by S.I. 2018/135.

[^f00374]: S.I. 2013/431.

[^f00375]: S.I. 2013/556.

[^f00376]: Article 3(2) was amended by S.I. 2017/701.

[^f00377]: Article 3(3) was amended by S.I. 2013/3115.

[^f00378]: Paragraph (3)(a) was substituted by S.I. 2013/3115.

[^f00379]: S.I. 2013/3116.

[^f00380]: S.I. 2019/628.

[^f00381]: Articles 2 and 3 were amended by S.I. 2016/1023.

[^f00382]: S.I. 2014/1960, amended by S.I. 2016/1032 and 2018/897.

[^f00383]: S.I. 2014/2080, amended by S.I. 2016/1032 and 2017/1167.

[^f00384]: S.I. 2013/1773, to which there are amendments not relevant to these Regulations.

[^f00385]: S.I. 2004/1862, to which there are amendments not relevant to these Regulations.

[^f00386]: The term “conglomerates directive” is defined in regulation 1(2) of S.I. 2004/1862.

[^f00387]: OJ No. L 35, 11.02.2003, p.1, amended by Directive 2011/89/EU (OJ No. L 326, 8.12.2011, p.113); there are other amending instruments but none is relevant.

[^f00388]: 2006 c.46.

[^f00389]: S.I. 2015/575.

[^f00390]: Article 19A was inserted by S.I. 2016/1032.

[^f00391]: S.I. 2015/1865.

[^f00392]: 1974 c.39.

[^f00393]: Subsection (3) was substituted by S.I. 2015/910 and was amended by S.I. 2016/392.

[^f00394]: Schedule 2A was inserted by S.I. 2014/366.

[^f00395]: S.I. 2011/99.

[^f00396]: S.I. 2017/752.

[^f00397]: Section 138A was inserted by section 24 of the Financial Services Act 2012.

[^f00398]: Section 64A was inserted by section 30 of the Financial Services (Banking Reform) Act 2013; section 137O was inserted by section 24 of the Financial Services Act 2012.

[^f00399]: S.I. 2018/1115.

[^f00400]: Section 22 was amended by section 7 of the Financial Services Act 2012; section 55B was inserted by section 11 of that Act.

[^f00401]: Section 1B was inserted by section 6 of the Financial Services Act 2012; section 1IA was inserted by section 2 of the Financial Services (Banking Reform) Act 2013.

[^f00402]: See sections 2B to 2D of the Act, which were inserted by section 6 of the Financial Services Act 2012. Section 2B was amended by section 1 of the Financial Services (Banking Reform) Act 2013.

[^f00403]: 1998 c.11; section 2A was inserted by section 238 of the Banking Act 2009 (c.1).

[^f00404]: 2009 c.1.

[^f00405]: The definitions of “central counterparty” and “the EMIR regulation” were inserted by S.I. 2013/504.

[^f00406]: The definition of “central securities depository” was inserted by S.I. 2017/1064.

[^f00407]: Section 2B was inserted by section 6 of the Financial Services Act 2012.

[^f00408]: Section 165(11) was amended by paragraph 1(8) of Schedule 12 to the Financial Services Act 2012.

[^f00409]: Section 139A was inserted by section 24 of the Financial Services Act 2012.

[^f00410]: Sections 137SA and 137SB was inserted by sections 13 and 14 of the Financial Guidance and Claims Act 2018 (c.10). Section 333T was inserted by section 29 of the Bank of England and Financial Services Act 2016 (c.14).

[^f00411]: The reference to the FCA’s functions conferred by or under the Act is to be read in accordance with section 1A(6) of the Act (see section 3T(a) of the Act). Sections 1A and 3T were inserted by section 6 of the Financial Services Act 2012 and section 1A(6) was amended by S.I. 2013/1773, S.I. 2018/1115, these Regulations and paragraph 6 of Schedule 3 to the Financial Guidance and Claims Act 2018.

[^f00412]: Schedule 1ZA was inserted by section 6 of, and Schedule 3 to, the Financial Services Act 2012 (c.21). Paragraph 23(3) and (5) of Schedule 1ZA are to be read in accordance with paragraph 1 of Schedule 1ZA and section 1A(6) of the Act.

[^f00413]: Part 9A was inserted by the Financial Services Act 2012 (c.21).