UK Statutory Instrument
2013
United Kingdom
The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013
At a glance
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Browse 64 other sections — procedural / definitional / commencement
Interpretation
Amendments to the Financial Services and Markets Act 2000
Amendments to the Companies Act 1989
Amendments to the Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001
Designation of competent authorities
Power of the FCA to require information
Applications, notifications and reports to FCA
Penalties and statements
Penalties under regulation 9: procedure
Interpretation of Part 6
Procedure in relation to proposed acquisition
Restriction notices
Orders for sale of shares
Offences
Removal of directors of recognised central counterparties
Interpretation
Records of telephone and data traffic: Article 62(1)(e) of the EMIR regulation
Inspections: Article 63 of the EMIR regulation
Retention of documents taken under regulation 17
Offences: Article 63 inspections
Amendments to the Finance Act 1991
Amendment to the Pension Schemes Act 1993
Amendment to the Pension Schemes (Northern Ireland) Act 1993
Amendments to the Pensions Act 2004
Amendments to the Income Tax Act 2007
Amendments to the Banking Act 2009
Amendments to the Corporation Tax Act 2009
Amendment to the European Communities (Enforcement of Community Judgments) Order 1972
Amendment to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
Amendments to the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979
Amendments to the Financial Markets and Insolvency Regulations 1991
Amendments to the Income Tax (Manufactured Overseas Dividends) Regulations 1993
Amendments to the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
Amendment to the Financial Services and Markets Act 2000 (Exemption) Order 2001
Amendments to the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Amendments to the Uncertificated Securities Regulations 2001
Amendment to the Pension Protection Fund (PPF Ombudsman) Order (Northern Ireland) 2005
Amendment to the Pension Protection Fund (PPF Ombudsman) Order 2005
Amendment to the Financial Assistance Scheme (Appeals) Regulations 2005
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No.9) 2009
Amendments to the Investment Bank Special Administration Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Eurex Clearing AG) Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Central Counterparty Limited) Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (European Multilateral Clearing Facility N.V.) Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (LCH.Clearnet Limited) Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (SIX X-CLEAR AG) Regulations 2011
Amendments to the Stamp Duty and Stamp Duty Reserve Tax (Cassa Di Compensazione E Garanzia S.p.A.) Regulations 2011
Amendments to the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013
Amendment to the Payment to Treasury of Penalties (Enforcement Costs) Order 2013
Interpretation of Part 10
Information provided to or requested by FSA
Transitional and saving provisions: central counterparties
Further transitional provisions: EEA and third country central counterparties
Transitional and saving provisions: overseas persons
Transitional and saving provisions: designation orders under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999
Transitional provisions: markets in financial instruments provisions
Transitional provision: EMIR regulation
Warning notices and decision notices
Offences
References to the Tribunal
Scotland
Review
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
FCA
PrimaryFinancial Conduct Authority
Regulation of financial services firms and markets. Supervises banks, insurers, investment firms, payment services, and cryptoasset businesses. Issues authorisations and enforces conduct …
Prudential Regulation Authority
Part of the Bank of England. Prudentially regulates and supervises around 1,292 banks, building societies, credit unions, insurers, and major investment firms. …
Connected legislation
parent Act
These instruments amend, apply, or refer to this Act. They may not all create direct business obligations.
Made under
Financial Services and Markets Act 2000 2000 Primary Act
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