| Guvnor

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.

s.039 Finance: reporting obligations Regulated

Report suspected sanctions breaches to the TreasuryFinancial Services Firm

79 other provisions — procedural and definitional

s.001 Citation and commencement

s.002 Interpretation

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

s.004 Purposes

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

s.010 Designation of persons named by or under UN Security Council Resolutions

s.011 Meaning of “designated person” in Part 3

s.012 Asset-freeze in relation to designated persons

s.013 Making funds available to designated persons

s.014 Making funds available for benefit of designated persons

s.015 Making economic resources available to designated persons

s.016 Making economic resources available for benefit of designated persons

s.017 Circumventing etc. prohibitions

s.017 Director disqualification sanctions

s.018 Immigration

s.019 Interpretation of expressions used in this Part

s.020 Export of military goods

s.021 Supply and delivery of military goods

s.022 Making military goods and military technology available

s.023 Transfer of military technology

s.024 Technical assistance relating to military goods and military technology

s.025 Financial services and funds relating to military goods and military technology

s.026 Brokering services: non-UK activity relating to military goods and military technology

s.027 Enabling or facilitating the conduct of armed hostilities

s.028 Circumventing etc. prohibitions

s.029 Defences

s.030 Finance: exceptions from prohibitions

s.030 Finance: humanitarian exception

s.030 Finance: exception from prohibitions for required payments

s.030 Finance: exceptions relating to payment of Treasury debt

s.031 Exception for authorised conduct in a relevant country

s.032 Exception for acts done for purposes of national security or prevention of serious crime

s.033 Treasury licences

s.033 Director disqualification licences

s.034 Trade licences

s.035 Licences: general provisions

s.036 Finance: licensing offences

s.036 Director disqualification: licensing offences

s.037 Trade: licensing offences

s.038 Section 8B(1) to (3) of the Immigration Act 1971: directions

s.039 Finance: reporting obligations for required payments

s.040 “Relevant firm”

s.041 Finance: powers to request information

s.042 Finance: production of documents

s.043 Finance: information offences

s.044 Trade: application of information powers in CEMA

s.045 General trade licences: records

s.046 General trade licences: inspection of records

s.047 Disclosure of information

s.047 Finance: disclosure to the Treasury

s.048 Part 7: supplementary

s.049 Penalties for offences

s.050 Liability of officers of bodies corporate etc.

s.051 Jurisdiction to try offences

s.052 Procedure for offences by unincorporated bodies

s.053 Time limit for proceedings for summary offences

s.054 Trade enforcement: application of CEMA

s.055 Trade offences in CEMA: modification of penalty

s.056 Application of Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005

s.057 Monetary penalties

s.058 Exercise of maritime enforcement powers

s.059 Maritime enforcement officers

s.060 Power to stop, board, search etc.

s.061 Seizure power

s.062 Restrictions on exercise of maritime enforcement powers

s.063 Interpretation of Part 9

s.064 Notices

s.065 Trade: overlapping offences

s.066 Revocations

s.067 Amendment of the United Nations and European Union Financial Sanctions (Linking) Regulations 2017

s.068 Transitional provision: Treasury licences

s.069 Transitional provision: trade licences

s.070 Transitional provision: pending applications for trade licences

s.071 Transitional provision: prior obligations

Schedules

0 of 28 shown

28 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 (1) In this Schedule— “designated person” has the same meaning...

s.sch002 Diplomatic missions etc.

s.sch002 Extraordinary situation

s.sch002 Insolvency

s.sch002 Judicial decisions etc.

s.sch002 Basic needs

s.sch002 Legal services

s.sch002 Maintenance of frozen funds and economic resources

s.sch002 Extraordinary expenses

s.sch002 Pre-existing judicial decisions etc.

s.sch002 Humanitarian assistance activities etc.

s.sch002 Prior obligations