# The Financial Services and Markets Act 2000 (Controllers) Regulations 2009 (revoked) S.I. 2009/534 · made 9 March 2009 · revised to 29 August 2023 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PDFs: Printed copy https://openlegislation.uk/financial-services-and-markets-act-2000-controllers-regulations-2009-revoked/pdf/uksi_20090534_en.pdf; Explanatory Memorandum https://openlegislation.uk/financial-services-and-markets-act-2000-controllers-regulations-2009-revoked/pdf/uksiem_20090534_en.pdf ## Introductory text Financial Services And Markets Made 9th March 2009 Laid before Parliament 10th March 2009 Coming into force 21st March 2009 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1 Citation and commencement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Amendments to the Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Amendments to the Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Amendments to the Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 Amendments to the Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Amendments to the Financial Services and Markets Act 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 Transitional arrangements for notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Repeal and revocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Schedule 1 “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 2 “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 3 “Controller 422. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Disregarded holdings 422A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .” ## Explanatory note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . --- Source: https://www.legislation.gov.uk/uksi/2009/534 (the official version) Page: https://openlegislation.uk/financial-services-and-markets-act-2000-controllers-regulations-2009-revoked Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.