The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019

[^c23565531]: Inserted by section 24(1) of the Financial Services Act 2012 (c. 21) and amended by paragraph 7 of Schedule 3 to the Pension Schemes Act 2015 (c. 8), sections 29(3) and 33(3) of, and paragraph 35 of Schedule 2 to, the Bank of England and Financial Services Act 2016 (c. 14) and paragraph 13 of Schedule 3 to the Financial Guidance and Claims Act 2018 (c. 10).

[^c23565541]: Inserted by section 24(1) of the Financial Services Act 2012 (c. 21).

[^c23565551]: Inserted by section 24(1) of the Financial Services Act 2012 (c. 21).

[^c23565561]: Inserted by section 24(1) of the Financial Services Act 2012 (c. 21) and amended by paragraph 8 of Schedule 3 to the Pension Schemes Act 2015 (c. 8), sections 29(4) and 33(4) of the Bank of England and Financial Services Act 2016 (c. 14) and paragraph 14 of Schedule 3 to the Financial Guidance and Claims Act 2018 (c. 10).

[^c23565571]: Inserted by section 24(1) of the Financial Services Act 2012 (c. 21).

[^c23565581]: See regulation 19, which applies to these Regulations with modifications provisions of the Financial Services and Markets Act 2000 (c. 8) relating to the provision of notices generally.

[^c23565591]: Subsection (4) is amended by paragraph 32(4) of Schedule 9 to the Financial Services Act 2012 (c. 21).

[^c23565601]: Inserted by Schedule 3 to the Financial Services Act 2012 (c. 21). Paragraph 20 is amended by paragraph 4 of Schedule 10 to the Financial Services (Banking Reform) Act 2013 (c. 33). Paragraph 21 is amended by paragraph 15 of Schedule 3 to the Pension Schemes Act 2015 (c. 8) and paragraph 21(4) of Schedule 3 to the Financial Guidance and Claims Act 2018 (c. 10).

[^c23565611]: See Article 18A of the CRA Regulation (inserted by regulation 75).

[^c23565621]: Substituted by S.I. 2010/22 and amended by section 23(2) of the Financial Services Act 2012 (c. 21), paragraph 83 of Schedule 9 to the Crime and Courts Act 2013 (c. 22), section 4(2) of the Financial Services (Banking Reform) Act 2013 (c. 33), S.I. 2013/1388, S.I. 2014/3329, S.I. 2016/680 and S.I. 2017/1064.

[^c23565631]: Inserted by S.I. 2010/22 and amended by section 23(3) of the Financial Services Act 2012 (c. 21).

[^c23565641]: Inserted by S.I. 2010/22 and amended by section 23(4) of the Financial Services Act 2012 (c. 21).

[^c23565661]: Amended by paragraph 1 of Schedule 12 to the Financial Services Act 2012 (c. 21), paragraph 36 of Schedule 2 to the Bank of England and Financial Services Act 2016 (c. 14) and S.I. 2013/1773.

[^c23565671]: Inserted by paragraph 6 of Schedule 12 to the Financial Services Act 2012 (c. 21).

[^c23565681]: Amended by paragraph 33(4) of Schedule 7 to the Counter-Terrorism Act 2008 (c. 28), paragraph 16 of Schedule 2 to the Financial Services Act 2010 (c. 28), paragraph 8 of Schedule 12 to the Financial Services Act 2012 (c. 21), paragraph 11 of Schedule 3 to the Pension Schemes Act 2015 (c. 8), paragraph 18 of Schedule 3 to the Financial Guidance and Claims Act 2018 (c. 10), S.I. 2016/680, S.I. 2007/126, S.I. 2012/2554, S.I. 2013/1773, S.I. 2016/225 and S.I. 2017/1255.

[^c23565691]: Amended by paragraph 27 of Schedule 9 to the Financial Services Act 2012 (c. 21) and paragraph 13 of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c. 33).

[^c23565701]: Subsection (1ZB) is inserted by section 4(3) of the Financial Services (Banking Reform) Act 2013 (c. 33) and amended by S.I. 2013/1388.

[^c23565711]: Amended by sections 17(3), 18(6), 19(2) and 24(3) of, and paragraph 34 of Schedule 9 to, the Financial Services Act 2012 (c. 21), paragraph 14 of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c. 33), S.I. 2005/381, S.I. 2005/1433, S.I. 2007/1973, S.I. 2009/534, S.I. 2013/1388, S.I. 2016/680, S.I. 2016/1239, S.I. 2017/701 and S.I. 2018/135.

[^c23565721]: Inserted by paragraph 32 of Schedule 2 to the Financial Services Act 2010 (c. 28) and amended by S.I. 2013/655 and S.I. 2018/135.

[^c23565731]: 2000 c. 8. Section 398 is amended by paragraph 36 of Schedule 9 to the Financial Services Act 2012 (c. 21), S.I. 2013/1773, S.I. 2015/1882, S.I. 2016/680, S.I. 2017/701, S.I. 2018/135 and S.I. 2018/698.

[^c23565741]: 2000 c. 8. Section 400 is amended by paragraph 37 of Schedule 9 to the Financial Services Act 2012 (c. 21).

[^c23565751]: Amended by paragraph 38 of Schedule 9 to the Financial Services Act 2012 (c. 21), S.I. 2013/1881 and S.I. 2016/1239.

[^c23565761]: 2000 c. 8. Section 398 is amended by paragraph 36 of Schedule 9 to the Financial Services Act 2012 (c. 21), S.I. 2013/1773, S.I. 2015/1882, S.I. 2016/680, S.I. 2017/701, S.I. 2018/135 and S.I. 2018/698.

[^c23565771]: 1971 c. 80; amended by section 1 of the St Andrew's Day Bank Holiday (Scotland) Act 2007 (asp 2).

[^c23565781]: O.J. L 193, 18.7.1983, p.1.

[^c23565791]: S.I. 2010/906 as amended by S.I. 2011/1435 and S.I.2013/472.

[^key-e075aa6df758aabe6777e588b2e224b4]: Reg. 1 in force at 14.2.2019, see reg. 1(2)

[^key-d4c94a4c331e1ca89d80f236a1423115]: Reg. 2 in force at 14.2.2019, see reg. 1(2)

[^key-594a3813013ad0f91a25bce0e192a308]: Reg. 24 in force at 14.2.2019, see reg. 1(2)

[^key-699e49fa67535fe39d4ea4e044474d56]: Reg. 25 in force at 14.2.2019, see reg. 1(2)

[^key-4d5a5af047241e47fe6c625f7b22b8ab]: Reg. 26 in force at 14.2.2019, see reg. 1(2)

[^key-bd965055301117698302b184b69e2981]: Reg. 27 in force at 14.2.2019, see reg. 1(2)

[^key-c82ab7f375ab716f0f6b53be871637c2]: Reg. 28 in force at 14.2.2019, see reg. 1(2)

[^key-bbb0d51989541a64deb8231de2d1612c]: Reg. 29 in force at 14.2.2019, see reg. 1(2)

[^key-71062b1e13aab8c9d6a3164bb49422cd]: Reg. 30 in force at 14.2.2019, see reg. 1(2)

[^key-3ff4ba9ac0852b2fb6228e4e184ad198]: Reg. 31 in force at 14.2.2019, see reg. 1(2)

[^key-d29b4b909ae478f330ebbc5ca5fb39ed]: Reg. 32 in force at 14.2.2019, see reg. 1(2)

[^key-ddd1ee7ac061ba57150e9ec022b28311]: Reg. 33 in force at 14.2.2019, see reg. 1(2)

[^key-7b72f1892d3c7de16aa4f5fe81175b8a]: Reg. 34 in force at 14.2.2019, see reg. 1(2)

[^key-d877cada477574b656fd5c2c3c57974b]: Reg. 35 in force at 14.2.2019, see reg. 1(2)

[^key-85752bcae80aeabf2db448f6cb7b9891]: Reg. 36 in force at 14.2.2019, see reg. 1(2)

[^key-6bf15ea2a9095f949bd554b05050503e]: Reg. 37 in force at 14.2.2019, see reg. 1(2)

[^key-27c2acfb110776185d207ffc46b9a247]: Reg. 38 in force at 14.2.2019, see reg. 1(2)

[^key-03a62aa0eba821f632c54b3b51795e07]: Reg. 39 in force at 14.2.2019, see reg. 1(2)

[^key-f0b1c9e887966ea444941e39a8697f50]: Reg. 40 in force at 14.2.2019, see reg. 1(2)

[^key-839329b7d5f9e0d82c0667f2bb9bdb9f]: Reg. 41 in force at 14.2.2019, see reg. 1(2)

[^key-1e91f32207aece9b9008eb9d9febd45d]: Reg. 42 in force at 14.2.2019, see reg. 1(2)

[^key-eac5fcf7f905dcfc50f484a843187ca7]: Reg. 43 in force at 14.2.2019, see reg. 1(2)

[^key-9a4c30142e2af3faaf5f46ba1b57a211]: Reg. 44 in force at 14.2.2019, see reg. 1(2)

[^key-fa92bb7623411fd75c1d3aee08d387a4]: Reg. 45 in force at 14.2.2019, see reg. 1(2)

[^key-d51061dfd4544d7da15991c0e1f3cade]: Reg. 46 in force at 14.2.2019, see reg. 1(2)

[^key-264c934302bcb6ec496a31ce95afe8c2]: Reg. 47 in force at 14.2.2019, see reg. 1(2)

[^key-e64ad1215ef80629f2509494d3f866f4]: Reg. 48 in force at 14.2.2019, see reg. 1(2)

[^key-b3a9294224f9889122ba897702040cc4]: Reg. 49 in force at 14.2.2019, see reg. 1(2)

[^key-5b48dd012cb61e632427516cbbd3cb3f]: Words in reg. 27 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(a)

[^key-9753034ebf830d6c6cce54eda21b0b55]: Words in reg. 30 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(b)

[^key-0063598a142e35db3dfe20837ce43ef0]: Words in reg. 31 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(c)

[^key-78530f7f67e10ad0c1c6b40ea6c43109]: Words in reg. 33 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(d)

[^key-42d30ecfd1e8fcc0f815f5ec64dc510b]: Words in reg. 35 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(e)

[^key-cd1a394fd058b7848576b94aa816ff4f]: Words in reg. 36 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(f)

[^key-ab0e8d9b7bfe4e08e24f12bc945ac15b]: Words in reg. 39 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(g)

[^key-5216ab870cee05e2dc55bd18c4166244]: Words in reg. 41 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(h)

[^key-8788110506f648276b4109e995c033cc]: Words in reg. 42 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(i)

[^key-4a3d28bad72d841c5b9f84c9170c9026]: Words in reg. 49 substituted (31.1.2020 immediately before exit day) by The Financial Services (Consequential Amendments) Regulations 2020 (S.I. 2020/56), regs. 1, 11(j)

[^key-d8ba5f7ced6f0dd3c2b3ccda604ed052]: Reg. 55(e) substituted (30.9.2020) by The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1055), regs. 1(2), 11(3)

[^key-7dc27e6f9fdde26e519a10b72355ede6]: Reg. 56(a) substituted (30.9.2020) by The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1055), regs. 1(2), 11(4)(a)

[^key-7c5d653ee295ec9e064fb59436ff2edf]: Reg. 56(f) substituted (30.9.2020) by The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1055), regs. 1(2), 11(4)(b)

[^key-d398333c3654e137e61205724e272295]: Words in reg. 54(a) inserted (30.9.2020) by The Equivalence Determinations for Financial Services (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1055), regs. 1(2), 11(2)

[^key-382cd376426232cf204857137fa2f0a6]: Reg. 46A inserted (27.11.2020) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(2), 50(5)

[^key-58908f31b8c6a8401a1f115166e0c292]: Regs. 47, 47A substituted for reg. 47 (27.11.2020) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(2), 50(6)

[^key-e14ca08cc68e4a6e1bfb020f80632969]: Reg. 45 substituted (27.11.2020) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(2), 50(4)

[^key-d36d602ef99fb494ae4cb55e9c4e1cbf]: Words in reg. 55(c) substituted (30.12.2020) by The Financial Services and Economic and Monetary Policy (Consequential Amendments) (EU Exit) Regulations 2020 (S.I. 2020/1301), regs. 1, 3, Sch. para. 16

[^key-4f102fd81a83b558777065b34fe0166d]: Regulations modified (31.12.2020) by The Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/680), regs. 1(2), 11(1)(4)(5) (with reg. 11(8)-(10)) (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-57a9089cfb5b73fe07acef25c7640dbc]: Reg. 4 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a7b5d03dda4555cacb78fc2371b584b2]: Reg. 6 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-df679b53e07c3301359ec1fb033cd24e]: Reg. 14 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-c2451e463d9d7b4a18e06faa2b792b7b]: Reg. 16 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a1403c94fb2349bc32ce774618ffe924]: Reg. 18 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-7239995a2c5fcf1eb16bbd88a191bcaa]: Reg. 19 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-0fc9f461b5f7e4a4b0bc8fa46bb3740b]: Reg. 20 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-cc05cf1ac9a5db1d386f8979129d2ed3]: Reg. 21 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-5343e470dae8cbb99b10246879a38e10]: Reg. 22 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-63bde21467e2506870ac1c23c8563561]: Reg. 23 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-955e99cc377976b6c51db5ec2fbde573]: Reg. 50 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f2520c0ad106e06b97e4fda3035546ae]: Reg. 52 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-223b4a3634c905cd727c17b86678db50]: Reg. 53 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-16727decc62add9922cd07e43842487d]: Reg. 54 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-ceb7663d581434e7f18fc3e8ee814af8]: Reg. 55 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-3d5b38252e953382b2fce7304a869f22]: Reg. 56 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-26cc1c7c02ffe90a19c10d453d184911]: Reg. 57 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a6b1786a6ce4c4f696440f16ce5f11a4]: Reg. 58 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-c160cf8fbeed139047f1f81c54382f01]: Reg. 59 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-47a8747fb4a893a92c6a4bb75e234ecc]: Reg. 60 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-036a6d6ae9829adcc052617e1a698e94]: Reg. 61 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a5da64bff9e4c67c4567986e898b49ae]: Reg. 62 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-b2933fbbf23162d2354b7741c7d37886]: Reg. 63 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-aa77beedf8a88203ae8cdbdb78315ec3]: Reg. 65 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-cd57235b447489612b8b431d4aea9689]: Reg. 66 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-ae7c90fee8994816db840ed64d3f45f0]: Reg. 67 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-fc194d0c46d4557cf1a66528b7053159]: Reg. 68 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-9c76fd4e7a0fff3d8ec63af5c208e42e]: Reg. 69 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-53bf3e7f0161f35857cbec4ca3a9e257]: Reg. 70 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-9137877ea6b4ed8175ab3f924d9b6db8]: Reg. 71 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-1c1fb3e75d8c3ec8c6dbe4e7002394b5]: Reg. 72 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a428eb62377d851d2c97a508fea89dbb]: Reg. 73 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-1bbd622d78cbf784bd9a3cc33b11e3e9]: Reg. 74 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-1833e713abf694f98b5d1bd74c6e9a7b]: Reg. 75 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-d5c40064d392d3b4648d66e201f70350]: Reg. 76 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-324fb775cb3fedd7e32489eb84b634ec]: Reg. 77 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-6c1ec816c46c62ff4b075039a9cff3dd]: Reg. 78 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-11989c9ba2f5047f39ac6c5a22de0260]: Reg. 79 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-27a441ba9b3a0e62324fca8f3302e63b]: Reg. 80 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-7cab8a3abdd00969c27547e6e2cb5a56]: Reg. 81 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-b08e28726f34e14c255e8457e55fcc61]: Reg. 82 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-39616ae216023521df9c448f00341f86]: Reg. 83 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-940894410d37462d912598d5fe90720d]: Reg. 84 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-bf857f0868e9ee8ebd0beaa21a0c446a]: Reg. 85 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f5ea3d902bd341851e305300ff87955c]: Reg. 86 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f5318dd9f690661e093eb6ee3ac4e8d6]: Reg. 87 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a2a0d04ce01c8f68553dabec3a60d00d]: Reg. 88 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-aa07e26613eee02910aab1bbbe77c5aa]: Reg. 89 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-0185fe0cb1c858abd2bffdd6e0642897]: Reg. 90 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-c71b6476f8559436d1ebdc9fc834a14e]: Reg. 91 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-67dd93b15c77a46b2f82a3b03443b649]: Reg. 92 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-74ff95c59f7a314221a19731008477cd]: Reg. 93 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-5d1186edc89692237215ee17070fde9d]: Reg. 94 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f66d80995802fd813aecdfab634c8ccb]: Reg. 95 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-33086649dcded03776a89f186eac3cb9]: Reg. 96 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-2e93c9ef791420f9d4431bef2b1a2ccb]: Reg. 97 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-8a44a58b85e4811a7537860aef957673]: Reg. 98 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f138fc5de0c7408136cec47d0be8a571]: Reg. 99 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-4015b0589beda3ce02e22730bdae46c9]: Reg. 100 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-d43402082ca2064b9744ac9e9dde6e3c]: Reg. 101 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-02886af77fdaaf4d0aff83087eeaf564]: Reg. 102 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-f047fa6aba95aa4e1a2fc44534d874da]: Reg. 3 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-40b02e3d560797fa9ef1398105031a3c]: Reg. 5 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-535e5f993bbbb88ed69343b0398f2eb5]: Reg. 7 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-22af7a586730745aa6d0ba32ab6da5c7]: Reg. 8 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-57d5a4efcc963a81c3a7f64cac34fca6]: Reg. 9 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-2f6a871b9328788e1f824f55130f7ebb]: Reg. 10 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-06a9a7ba9ce76470b2468a6c050b7b03]: Reg. 11 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-b3f028960124b8b43480a9af6270d678]: Reg. 12 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-a1e53bd87f6409766becae35b6dfbbec]: Reg. 13 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-3dbae8626eaa09460c202c3b62c6b36b]: Reg. 15 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-13e262616b3bbb20bbe0d0ddfd08a6ff]: Reg. 17 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-9cd21984c9f4e6a43f705e6873e6d286]: Reg. 51 in force at 31.12.2020 in force on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(3)

[^key-031bf19607e4b518a77b4b61eb684d0c]: Word in reg. 7(1) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(a)

[^key-136c7819fc6f4930b2939bbb61b8ee72]: Word in reg. 8(7) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(b)

[^key-822b97d41ca9194e3137640252778f3b]: Word in reg. 9(6) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(c)

[^key-c34d4d9f48ed2a993966c5b3198ed1ad]: Word in reg. 10 substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(d)

[^key-2685421e0ebf96cc4bd478f235304040]: Word in reg. 11(1) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(e)

[^key-578f154bc09b45b137ae8469d78870d6]: Word in reg. 12(1) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(f)

[^key-58e7baf036c793f5aba55e98432f64cc]: Word in reg. 15 substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(g)

[^key-dd23baac85fad726e991ebc18e037b63]: Word in reg. 17(1)(a) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(h)(i)

[^key-95900f03d9236bc72494b2e6d4636bf2]: Word in reg. 17(1)(b) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(h)(i)

[^key-0c06bc479ad07feac4bb0f3fb5c1daf2]: Word in reg. 17(2) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(h)(ii)

[^key-8f9746b904876fa28bedaa94d84f933d]: Word in reg. 17(3) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(2)(h)(iii)

[^key-ab0070d6ebdcfd73632c13007c370415]: Words in reg. 18(1) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(3)(a)

[^key-a821a65c16d8ec08d92a7da47dd8d50e]: Word in reg. 18(2)(b) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(3)(b)

[^key-185077e196975ed368b19a44d8f342d0]: Word in reg. 18(3) substituted (31.12.2020 immediately before IP completion day) by The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020 (S.I. 2020/1385), regs. 1(4), 50(3)(c)

[^key-c97e29ce085487603ed05ac44b9a7d86]: Reg. 56(e)(i)(ii) substituted for reg. 56(e)(i)-(iii) (31.12.2020 immediately before IP completion day) by The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020 (S.I. 2020/628), regs. 1(3), 9(2)

[^key-6bda314321ddb451372ef44eb71b0ee1]: Reg. 64 omitted (31.12.2020 immediately before IP completion day) by virtue of The Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/710), regs. 1(2), 23; 2020 c. 1, Sch. 5 para. 1(1)

[^key-40be09be8a1c0607513060191ce21f4d]: Reg. 95 substituted (31.12.2020 immediately before IP completion day) by The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020 (S.I. 2020/628), regs. 1(3), 9(3)

[^key-1d5e171876b6c2bea5b13507ae1e50ec]: Reg. 96 substituted (31.12.2020 immediately before IP completion day) by The Financial Services (Miscellaneous Amendments) (EU Exit) Regulations 2020 (S.I. 2020/628), regs. 1(3), 9(4) (as amended by S.I. 2020/1055, regs. 1(2), 14(a)(b)(c))

[^key-0d30a336273c63dd79d3c9b505b4bd83]: Regulations: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pt. 2; S.I. 2023/779, reg. 2(d)

[^key-2b7b79424fda88bdbfbc27d04bccfa5a]: Regulations revoked (1.1.2024 for the revocation of reg. 3(3)) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 2 (with s. 1(4)); S.I. 2023/779, reg. 5(c)(iii)

Further information to be supplied

46A

Subject to regulation 47A(7), regulations 47 and 47A apply to any person who, before IP completion day—

• (a) has submitted an advance application to the FCA in accordance with regulation 24, and has not been notified by the FCA of its decision in respect of the application in accordance with regulation 26;

• (b) has notified the FCA in accordance with regulation 36, and has not received a response from the FCA in accordance with regulation 38;

• (c) has notified the FCA in accordance with regulation 42, and who has not received a response from the FCA in accordance with regulation 44; or

• (d) has been notified by the FCA of a decision to register in accordance with regulation 26 or a decision to confirm the notification in accordance with regulations 38 or 44.

Duty to disclose information

FCA power to require information from a person to whom this regulation applies

47A

• (1) The FCA may, by notice in writing given to a person to whom this regulation applies, require that they—

• (a) provide information specified or information of a description specified by the FCA; or

• (b) produce documents specified or documents of a description specified by the FCA.

• (2) The information or documents must be provided or produced—

• (a) before the end of such reasonable period, and

• (b) at such place,

as may be specified.

• (3) The powers conferred by paragraphs (1) and (2) apply only to information and documents reasonably required—

• (a) in connection with the exercise by the FCA of functions conferred on it by or under these Regulations; and

• (b) in anticipation of the exercise by the FCA of their functions under the CRA Regulation and these Regulations which are conferred on them on IP completion day.

• (4) An officer who has written authorisation from the FCA to do so may request that a person to whom this regulation applies without delay—

• (a) provide the officer with specified information or information of a specified description; or

• (b) produce to the officer specified documents or documents of a specified description.

• (5) The FCA may require any information provided under this regulation to be provided in such form as it may reasonably require.

• (6) The FCA may require—

• (a) any information provided, whether in a document or otherwise, to be verified in such manner, or

• (b) any document produced to be authenticated in such manner,

as it may reasonably require.

• (7) The FCA may also impose requirements under paragraphs (1) and (4) on related third parties, to whom a person to whom this regulation applies has outsourced operational functions or activities, to provide all information that is necessary in order to carry out the duties of the person to whom this regulation applies.

• (8) In this regulation, “officer” means an officer of the FCA and includes a member of the FCA’s staff or an agent of the FCA.

Directions

Interpretation of Part 8