The Undertakings for Collective Investment in Transferable Securities Regulations 2016

Made: 25th February 2016

Laid before Parliament: 25th February 2016

Coming into force: 18th March 2016

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Citation and commencement

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Amendments to the Financial Services and Markets Act 2000

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Amendments to the Undertakings for Collective Investment in Transferable Securities Regulations 2011

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Amendments to the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

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Amendments to the Public Interest Disclosure (Prescribed Persons) Order 2014

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Review

6

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Signed

Mel Stride — Charlie Elphicke — Two of the Lords Commissioners of Her Majesty’s Treasury — 25th February 2016

Explanatory note

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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 1992 (Cm 2073) and the Protocol adjusting the Agreement signed in Brussels on 17th March 1993 (Cm 2183).

[^f00003]: 2000 c.8.

[^f00004]: Section 55J was substituted by section 11(2) of the Financial Services Act 2012 (c. 21) and was subsequently amended by S.I. 2013/1773, S.I. 2013/3115, S.I. 2015/575, S.I. 2015/910 and S.I. 2015/1882.

[^f00005]: OJ L 302, 17.11.2009, p. 32. The term “UCITS Directive” is defined in paragraph 4B of Part I of Schedule 3 to the Financial Services and Markets Act 2000 (c.8).

[^f00006]: S.I. 2011/1613, amended by S.I. 2012/2015, S.I. 2013/472 and S.I. 2013/1388.

[^f00007]: Section 66A was inserted by section 32(2) of the Financial Services (Banking Reform) Act 2013 (c.33) and was amended by S.I. 2015/1864.

[^f00008]: Section 168(4) was amended by section 41 of, and paragraphs 8(1) and 8(4)(a) to (g) of Part 1 of Schedule 12 to, the Financial Services Act 2012 (c.21), by section 62 of, and paragraph 33(3) of Part 7 of Schedule 7 to, the Counter-Terrorism Act 2008 (c.28), by section 24(1) and (2) of, and paragraph 1 and 16 of Part 1 of Schedule 2 to, the Financial Services Act 2010 (c.28), and by S.I. 2007/126, S.I. 2012/2554 and S.I. 2013/1773.

[^f00009]: 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. Subsection (2) was amended by S.I. 2013/1773.

[^f00010]: Section 380(6) was amended by section 141 of, and paragraph 3(1) and (2) of Schedule 10 to, the Financial Services (Banking Reform) Act 2013, by section 37(1) of, and paragraph 1 of Part 1 of Schedule 9, and paragraphs 19(1) and (3) of Part 5 of Schedule 9 to, the Financial Services Act 2012, and by S.I. 2013/1773 and S.I. 2015/1755.

[^f00011]: Section 391(4A) was inserted by S.I. 2013/3115 and amended by S.I. 2015/1755.

[^f00012]: Section 391B was inserted by S.I. 2015/1755.

[^f00013]: OJ L 257 28.8.2014, p.186.

[^f00014]: S.I. 2011/1613, amended by S.I. 2012/2015, S.I. 2013/472 and S.I. 2013/1388.

[^f00015]: Regulation 7 was amended by S.I. 2013/472 and S.I. 2013/1388.

[^f00016]: S.I. 2001/2188. The definition of “single market restrictions” was inserted by S.I. 2012/916 and amended by S.I. 2013/504, S.I. 2013/1773, S.I. 2013/3115, S.I. 2014/3348, S.I. 2015/575 and S.I. 2015/910.

[^f00017]: S.I. 2014/2418, to which there are amendments not relevant to these Regulations.

[^f00018]: OJ L 257, 28.8.2014, p.186.

Editorial notes