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The Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

S.I. 2001/2188 · Made 15 June 2001 · Extends to United Kingdom

Up to date with all changes known to legislation.gov.uk, revised to 30 September 2026.

FINANCIAL SERVICES AND MARKETS

Made 15th June 2001

Laid before Parliament 15th June 2001

Coming into force 18th June 2001

The Treasury, in exercise of the powers conferred on them by sections 349(1)(b), (2) and (3), 417(1)M1, 426, 427 and 428(3) of the Financial Services and Markets Act 2000M2, hereby make the following Regulations—C1C2C3C4C5C6C7C8C9C10C11C12C13C14C15C16C17

Annotations to the whole text

Marginal citations

M1

See the definition of “prescribed".

M2

2000 c. 8.

Modifications

C1

Regulations modified (temp.) (11.8.2001) by The Financial Services and Markets Act 2000 (Consequential and Transitional Provisions) (Miscellaneous) (No. 2) Order 2001 (S.I. 2001/2659), arts. 1(2), 7

C2

Regulations modified (1.12.2001) by The Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001 (S.I. 2001/3648), arts. 1, 6

C3

Regulations applied (with modifications) (1.12.2001) by The Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001 (S.I. 2001/3648), arts. 1, 4

C4

Regulations applied (20.4.2003) by The Insurers (Reorganisation and Winding Up) Regulations 2003 (S.I. 2003/1102), regs. 1, 16(4) (with reg. 3)

C5

Regulations applied (18.2.2004) by The Insurers (Reorganisation and Winding Up) Regulations 2004 (S.I. 2004/353), regs. 1, 16(4)

C6

Regulations applied (5.5.2004) by The Credit Institutions (Reorganisation and Winding up) Regulations 2004 (S.I. 2004/1045), regs. 1, 18(4), 38(6)

C7

Regulations applied (with modifications) (9.2.2011) by The Electronic Money Regulations 2011 (S.I. 2011/99), regs. 1(2)(a)(xiv), 62, Sch. 3 para. 11 (with reg. 3) (as amended (27.3.2019) by S.I. 2019/681, regs. 1(2), 14(2))

C8

Regulations applied (with modifications) (9.7.2013) by The Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013 (S.I. 2013/1635), regs. 1, 12

C9

Regulations applied (12.12.2014) by The Immigration Act 2014 (Bank Accounts) Regulations 2014 (S.I. 2014/3085), regs. 1, 13

C10

Regulations applied (with modifications) (1.1.2016) by The Small and Medium Sized Business (Finance Platforms) Regulations 2015 (S.I. 2015/1946), regs. 1(2), 22(2)

C11

Regulations applied (with modifications) (1.1.2016) by The Small and Medium Sized Business (Credit Information) Regulations 2015 (S.I. 2015/1945), regs. 1(2), 25(2)

C12

Regulations applied (with modifications) (18.9.2016) by The Payment Accounts Regulations 2015 (S.I. 2015/2038), reg. 1(2)(b), Sch. 7 para. 9

C13

Regulations applied (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 1 para. 28 (with reg. 7)

C14

Regulations applied (3.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Data Reporting Services Regulations 2017 (S.I. 2017/699), regs. 1(2)(a)(b), 42

C15

Regulations applied (with modifications) (15.1.2013) by The Payments in Euro (Credit Transfers and Direct Debits) Regulations 2012 (S.I. 2012/3122), reg. 1, Sch. para. 9 (as amended (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 7; 2020 c. 1, Sch. 5 para. 1(1))

C16

Regulations applied (with modifications) (13.10.2017) by The Payment Services Regulations 2017 (S.I. 2017/752), reg. 1(3)(c), Sch. 6 para. 13 (with reg. 3) (as amended (31.12.2020) by The Public Record, Disclosure of Information and Co-operation (Financial Services) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/681), regs. 1(3), 9(3)(b); 2020 c. 1, Sch. 5 para. 1(1))

C17

Regulations applied (5.4.2024) by The Data Reporting Services Regulations 2024 (S.I. 2024/107), regs. 1(2), 29; S.I. 2023/1382, reg. 4(c)

Contents

  1. Part I: PRELIMINARY
  2. 1Citation and Commencement
  3. 2Interpretation
  4. Part II: DISCLOSURE OF CONFIDENTIAL INFORMATION GENERALLY
  5. 3Disclosure by and to the regulators, the Secretary of State and the Treasury etc.
  6. 4Disclosure for the purposes of criminal proceedings and investigations
  7. 5Disclosure for the purposes of certain other proceedings
  8. 6Disclosure in pursuance of an EU obligation Repealed
  9. 7Restrictions on use of confidential information
  10. Part III: DISCLOSURE OF SPECIFIED CONFIDENTIAL EU LAW INFORMATION...
  11. 8Application of this Part
  12. 9Disclosure by regulators or regulator workers to certain other persons
  13. 10Disclosure by Schedule 1 person
  14. 10ADisclosure of recovery and resolution ... information
  15. 10BAssessment of effects of disclosure
  16. 10CDisclosure of capital requirements directive information to International Financial Institutions
  17. 10DDisclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakings
  18. Part IV: DISCLOSURE OF CONFIDENTIAL INFORMATION NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS
  19. 11Application of this Part
  20. 12Disclosure by and to a Schedule 1 or 2 person or disciplinary proceedings authority
  21. 12AThe Gambling Commission
  22. 12BElectronic commerce Repealed
  23. 12CProceedings under the Proceeds of Crime Act 2002
  24. 12DDisclosure of information in order to publish a stress test in relation to insurance undertakings and reinsurance undertakings
  25. Part V
  26. Chapter 1: Transitional Provisions Applicable Before IP completion day
  27. 13Interpretation
  28. 14Disclosure of pre-commencement information
  29. 15Disclosure of transitional information
  30. 16Disclosure by recognised self-regulating organisations
  31. 17Investment services directive information: transitional provision
  32. Chapter 2: Transitional Provision Applicable on or after IP completion day
  33. 18Transitional provision applicable on or after IP completion day
  34. Signature
  35. Schedule 1: DISCLOSURE OF CONFIDENTIAL INFORMATION WHETHER OR NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS
  36. 1Part 1
  37. 2Part 2
  38. 3Part 3
  39. 4Part 4
  40. PART 5
  41. 6Part 6
  42. Schedule 2DISCLOSURE OF CONFIDENTIAL INFORMATION NOT SUBJECT TO ASSIMILATED LAW RESTRICTIONS
  43. Schedule 3: PRESCRIBED DISCIPLINARY PROCEEDINGS
  44. Paragraph
  45. Explanatory note