Paragraph 19 F1
United Kingdom
Section 343 (information given by auditor: person with close links) applies in relation to a relevant auditor as if—
the references in that section to a recognised investment exchange were to a recognised clearing house F2or a recognised CSD,
in the case of an auditor of a recognised clearing house or a recognised CSD which is an authorised person or which is a recognised investment exchange, the references to a regulator included the Bank, and
in the case of an auditor of a recognised clearing house or a recognised CSD not falling within paragraph (b), the references to a regulator were to the Bank.
A “relevant auditor” is a person who—
is, or has been, an auditor of a recognised clearing house or a recognised CSD appointed under or as a result of a statutory provision F3, the EMIR regulation or the CSD regulation, and
is, or has been, an auditor of a person who has close links with the recognised clearing house F4or the recognised CSD.
Annotations
Textual amendments
- F1
Sch. 17A inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 29(2), 122(3), Sch. 7 (with Sch. 20); S.I. 2013/113, art. 2(1)(b)(c), Sch. Pts. 2, 3; S.I. 2013/423, art. 3, Sch.
- F2
Words in Sch. 17A para. 19 inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(39)(i)(i) (with regs. 7(4), 9(1))
- F3
Words in Sch. 17A para. 19(2)(a) substituted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(39)(i)(ii) (with regs. 7(4), 9(1))
- F4
Words in Sch. 17A para. 19(2)(b) inserted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), regs. 1, 2(39)(i)(iii) (with regs. 7(4), 9(1))
Notes on Schedule 17A
Textual amendments
- F2
Words in Sch. 17A heading inserted (1.1.2024 at 1.00 a.m. for specified purposes, 1.8.2024 in so far as not already in force) by Financial Services and Markets Act 2023 (c. 29), ss. 50(5), 86(3); S.I. 2023/1382, regs. 10(f), 11(b)