| Guvnor

Enforced by: ECJU
Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Financial Services Firm — also bound by 167 other Acts

Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance) 63 duties

Friendly Societies Act 1992 52 duties

Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance) 52 duties

The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001 50 duties

The Credit Unions (Northern Ireland) Order 1985 43 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

General

0 of 4 sections shown

4 other sections in this Part — procedural and definitional

s.001 Citation and commencement

s.002 Interpretation

s.003 Application of prohibitions and requirements outside the United Kingdom

s.004 Purpose

Part 2

Designation of persons

0 of 6 sections shown

6 other sections in this Part — procedural and definitional

s.005 Power to designate persons

s.005 Conditions for the designation of persons by name

s.006 Designation criteria: meaning of “involved person”

s.007 Meaning of “owned or controlled directly or indirectly”

s.008 Notification and publicity where designation power used

s.009 Confidential information in certain cases where designation power used

Part 3

Finance

0 of 7 sections shown

7 other sections in this Part — procedural and definitional

s.010 Meaning of “designated person” in Part 3

s.011 Asset-freeze in relation to designated persons

s.012 Making funds available to designated persons

s.013 Making funds available for benefit of designated persons

s.014 Making economic resources available to designated persons

s.015 Making economic resources available for benefit of designated persons

s.016 Circumventing etc prohibitions

Part 3

Director disqualification sanctions

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.016 Director disqualification sanctions

Part 4

Immigration

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.017 Immigration

Part 5

Exceptions and licences

0 of 10 sections shown

10 other sections in this Part — procedural and definitional

s.018 Finance: exceptions from prohibitions

s.018 Finance: exception for authorised conduct in a relevant country

s.018 Finance: exceptions from prohibitions for required payments

s.019 Exception for acts done for purposes of national security or prevention of serious crime

s.020 Treasury licences

s.020 Director disqualification licences

s.021 Licences: general provisions

s.022 Finance: licensing offences

s.022 Director disqualification: licensing offences

s.023 Section 8B(1) to (3) of Immigration Act 1971: directions

Part 6

Information and records

1 of 9 sections shown

s.024 Finance: reporting obligations Regulated

Report knowledge or suspicion of designated persons or sanctions breaches to TreasuryFinancial Services Firm

8 other sections in this Part — procedural and definitional

s.024 Finance: reporting obligations for required payments

s.025 “Relevant firm”

s.026 Finance: powers to request information

s.027 Finance: production of documents

s.028 Finance: information offences

s.029 Disclosure of information

s.029 Finance: disclosure to the Treasury

s.030 Part 6: supplementary

Part 7

Enforcement

0 of 6 sections shown

6 other sections in this Part — procedural and definitional

s.031 Penalties for offences

s.032 Liability of officers of bodies corporate etc

s.033 Jurisdiction to try offences

s.034 Procedure for offences by unincorporated bodies

s.035 Time limit for proceedings for summary offences

s.036 Application of Chapter 1 of Part 2 of Serious Organised Crime and Police Act 2005

Part 8

Supplementary and final provision

0 of 5 sections shown

5 other sections in this Part — procedural and definitional

s.037 Notices

s.038 Revocation of the Chemical Weapons Council Regulation

s.039 Amendments

s.040 Transitional provision: Treasury licences

s.041 Transitional provision: prior obligations etc

Schedules

0 of 24 shown

24 other schedules

s.sch001 Application of Schedule

s.sch001 Shares held by nominees

s.sch001 Rights treated as held by person who controls their exercise

s.sch001 “Arrangement” includes— (a) any scheme, agreement or understanding, whether or...

s.sch001 Rights exercisable only in certain circumstances etc

s.sch001 Rights attached to shares held by way of security

s.sch001 Joint interests

s.sch001 Joint arrangements

s.sch001 Calculating shareholdings

s.sch001 Voting rights

s.sch001 In applying regulation 7(2) and this Schedule, the voting rights...

s.sch001 Rights to appoint or remove members of the board

s.sch001 A reference to a board of directors, in the case...

s.sch001 Shares or rights held “indirectly”

s.sch002 Interpretation

s.sch002 Insolvency

s.sch002 Basic needs

s.sch002 Legal services

s.sch002 Maintenance of frozen funds and economic resources

s.sch002 Extraordinary expenses

s.sch002 Judicial decisions etc.

s.sch002 Diplomatic missions

s.sch002 Extraordinary situation

s.sch002 Prior obligations

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.