The Financial Services and Markets Act 2000 (Controllers) Regulations 2009 (revoked)
S.I. 2009/534 · Made 9 March 2009 · Extends to United Kingdom
Financial Services And Markets
Made 9th March 2009
Laid before Parliament 10th March 2009
Coming into force 21st March 2009
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Annotations to the whole text
Textual amendments
- F1
Regulations revoked (29.8.2023) 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. 3(b), Sch.
Contents
- 1Citation and commencement Repealed
- 2Interpretation Repealed
- 3Amendments to the Financial Services and Markets Act 2000 Repealed
- 4Amendments to the Financial Services and Markets Act 2000 Repealed
- 5Amendments to the Financial Services and Markets Act 2000 Repealed
- 6Amendments to the Financial Services and Markets Act 2000 Repealed
- 7Amendments to the Financial Services and Markets Act 2000 Repealed
- 8Transitional arrangements for notices Repealed
- 9Repeal and revocation Repealed
- Signature
- Schedule 1Schedule 1 Repealed
- Schedule 2Schedule 2 Repealed
- Schedule 3Schedule 3 Repealed
- Explanatory note
1Citation and commencementF1
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2InterpretationF1
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3Amendments to the Financial Services and Markets Act 2000F1
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4Amendments to the Financial Services and Markets Act 2000F1
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5Amendments to the Financial Services and Markets Act 2000F1
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6Amendments to the Financial Services and Markets Act 2000F1
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7Amendments to the Financial Services and Markets Act 2000F1
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8Transitional arrangements for noticesF1
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9Repeal and revocationF1
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Signature
F1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schedule 1F1
“Notices of acquisitions of control over UK authorised persons
Obligation to notify the Authority: acquisitions of control
178.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Requirements for section 178 notices
179.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Acknowledgment of receipt
180.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Acquiring control and other changes of holding
Acquiring control
181.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Increasing control
182.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Reducing or ceasing to have control
183.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Disregarded holdings
184.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment procedure
Assessment: general
185.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment criteria
186.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Approval with conditions
187.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment: consultation with EC competent authorities
188.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment: Procedure
189.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Requests for further information
190.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duration of approval
191.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Enforcement procedures
Objection by the Authority
191A.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Restriction notices
191B.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Orders for sale of shares
191C.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Notice of reductions of control of UK authorised persons
Obligation to notify the Authority: dispositions of control
191D.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Requirements for notices under section 191D
191E.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Offences
Offences under this Part
191F.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Interpretation
Interpretation
191G.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .”
Schedule 2F1
“CHAPTER 1A
CONTROL OVER RECOGNISED INVESTMENT EXCHANGE
Notices of acquisitions of control over recognised investment exchanges
Obligation to notify the Authority: acquisitions of control
301A.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Requirements for section 301A notices
301B.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Acknowledgment of receipt
301C.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Acquiring and increasing control
Acquiring and increasing control
301D.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Disregarded holdings
301E.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment procedure
Assessment: general
301F.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Assessment: Procedure
301G.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duration of approval
301H.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Enforcement procedures
Objections by the Authority
301I.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Restriction notices
301J.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Orders for sale of shares
301K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Offences
Offences under this Chapter
301L.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Interpretation
Interpretation
301M.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .”
Schedule 3F1
“Controller
422.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Disregarded holdings
422A.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .”
Explanatory note
F1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .