{
  "url": "https://openlegislation.uk/financial-services-and-markets-act-2000/section-165",
  "json_url": "https://openlegislation.uk/financial-services-and-markets-act-2000/section-165.json",
  "legislation": "ukpga/2000/8",
  "legislation_title": "Financial Services and Markets Act 2000",
  "legislation_url": "https://openlegislation.uk/financial-services-and-markets-act-2000",
  "path": "section/165",
  "kind": "section",
  "number": "165",
  "heading": "Regulators power to require information : authorised persons etc.",
  "text": "(1) Either regulator may, by notice in writing given to an authorised person, require him—\n(a) to provide specified information or information of a specified description; or\n(b) to produce specified documents or documents of a specified description.\n(2) The information or documents must be provided or produced—\n(a) before the end of such reasonable period as may be specified; and\n(b) at such place as may be specified.\n(3) An officer who has written authorisation from the regulator to do so may require an authorised person without delay—\n(a) to provide the officer with specified information or information of a specified description; or\n(b) to produce to him specified documents or documents of a specified description.\n(4) This section applies only to\n(a) information and documents reasonably required in connection with the exercise by either regulator of functions conferred on it by or under this Act , and\n(b) in relation to the exercise by the PRA of the powers conferred by subsections (1) and (3), information and documents reasonably required by the Bank of England in connection with the exercise by the Bank of its functions in pursuance of its financial stability objective.\n(5) The regulator in question may require any information provided under this section to be provided in such form as it may reasonably require.\n(6) The regulator in question may require—\n(a) any information provided, whether in a document or otherwise, to be verified in such manner, or\n(b) any document produced to be authenticated in such manner,\nas it may reasonably require.\n(7) The powers conferred by subsections (1) and (3) may also be exercised—\n(a) by either regulator, to impose requirements on a person who is connected with an authorised person;\n(aa) by the FCA, to impose requirements on a person who is or has been subject to a relevant Part 5A requirement;\n(b) by the FCA, to impose requirements on an operator, trustee or depositary of a scheme recognised under section ... 271A or 272 who is not an authorised person;\n(c) by the FCA, to impose requirements on a recognised investment exchange;\n(d) by the FCA, to impose requirements on a person who is connected with a recognised investment exchange.\n(da) by the FCA, to impose requirements on a person who provides, or has provided, a service to an FCA investment firm or to a relevant parent undertaking of such a firm;\n(e) by either regulator, to impose requirements on a person who provides any service to an insurance undertaking or reinsurance undertaking.\n(7A) For the purposes of the exercise by virtue of subsection (7)(aa) of the powers conferred by subsections (1) and (3) in relation to a person who is not an authorised person, the reference in subsection (4)(a) to functions conferred by or under this Act is to be read as referring only to functions so conferred which relate to the carrying on of a designated activity.\n(8) “Authorised person” includes a person who was at any time an authorised person but who has ceased to be an authorised person.\n(8A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .\n(9) “Officer” means an officer of the regulator exercising the power and includes a member of that regulator's staff or an agent of that regulator.\n(10) “Specified” means—\n(a) in subsections (1) and (2), specified in the notice; and\n(b) in subsection (3), specified in the authorisation.\n(11) For the purposes of this section, a person is connected with another person (“A”) if he is or has at any relevant time been—\n(a) a member of A’s group;\n(b) a controller of A;\n(c) any other member of a partnership of which A is a member; ...\n(d) in relation to A, a person mentioned in Part I of Schedule 15 (reading references in that Part to the authorised person as references to A); or\n(e) involved in the administration of any trust arrangement relating to a funeral plan contract entered into or carried out by A.\n(12) In subsection (7)(b), the reference to a scheme that is recognised includes a scheme a part of which is recognised.\n(13) In this section, “funeral plan contract” has the same meaning as in article 59(2) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001.",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Words in s. 165(1) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(2) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F2",
      "text": "Word in s. 165(3) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F3",
      "text": "S. 165(4)(a): words in s. 165(4) renumbered as s. 165(4)(a) (1.3.2017) by Bank of England and Financial Services Act 2016 (c. 14), s. 41(3), Sch. 2 para. 36(2)(a) (with Sch. 3); S.I. 2017/43, reg. 2(g)"
    },
    {
      "type": "F",
      "label": "F4",
      "text": "Words in s. 165(4) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(4) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F5",
      "text": "S. 165(4)(b) and word inserted (1.3.2017) by Bank of England and Financial Services Act 2016 (c. 14), s. 41(3), Sch. 2 para. 36(2)(b) (with Sch. 3); S.I. 2017/43, reg. 2(g)"
    },
    {
      "type": "F",
      "label": "F6",
      "text": "Words in s. 165(5) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(5) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F7",
      "text": "Words in s. 165(6) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(5) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F8",
      "text": "Words in s. 165(7) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(6) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F9",
      "text": "S. 165(7)(aa) inserted (14.1.2025) by The Financial Services and Markets Act 2000 (Designated Activities) (Supervision and Enforcement) Regulations 2025 (S.I. 2025/22), reg. 1(2), Sch. para. 5(2)"
    },
    {
      "type": "F",
      "label": "F10",
      "text": "Words in s. 165(7)(b) omitted (22.7.2013) by virtue of The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), reg. 1, Sch. 1 para. 9"
    },
    {
      "type": "F",
      "label": "F11",
      "text": "Words in s. 165(7)(b) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 9 para. 4(2); S.I. 2022/163, reg. 2(a)"
    },
    {
      "type": "F",
      "label": "F12",
      "text": "S. 165(7)(da) inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 2 para. 5 (with Sch. 2 Pt. 3); S.I. 2021/671, reg. 4(b)"
    },
    {
      "type": "F",
      "label": "F13",
      "text": "S. 165(7)(e) inserted (1.1.2016) by The Solvency 2 Regulations 2015 (S.I. 2015/575), reg. 1(2), Sch. 1 para. 7"
    },
    {
      "type": "F",
      "label": "F14",
      "text": "Words in s. 165(7)(e) substituted (31.12.2024) by The Insurance and Reinsurance Undertakings (Prudential Requirements) (Amendment and Miscellaneous Provisions) Regulations 2024 (S.I. 2024/1083), regs. 1(2)(b), 5"
    },
    {
      "type": "F",
      "label": "F15",
      "text": "S. 165(7A) inserted (14.1.2025) by The Financial Services and Markets Act 2000 (Designated Activities) (Supervision and Enforcement) Regulations 2025 (S.I. 2025/22), reg. 1(2), Sch. para. 5(3)"
    },
    {
      "type": "F",
      "label": "F16",
      "text": "S. 165(8A) omitted (1.1.2024 at 1.00 a.m.) by virtue of Financial Services and Markets Act 2023 (c. 29), ss. 9(3), 86(3); S.I. 2023/1382, reg. 10(a)"
    },
    {
      "type": "F",
      "label": "F17",
      "text": "Words in s. 165(9) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(7)(a) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F18",
      "text": "Words in s. 165(9) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(7)(b) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F19",
      "text": "Words in s. 165(9) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(7)(c) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F20",
      "text": "Words in s. 165(11) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(8)(a) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F21",
      "text": "Word in s. 165(11)(c) omitted (16.5.2022 for specified purposes, 29.7.2022 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2022 (S.I. 2022/466), arts. 1(3), 6(2)(a)"
    },
    {
      "type": "F",
      "label": "F22",
      "text": "Words in s. 165(11)(d) inserted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(8)(b) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F23",
      "text": "S. 165(11)(e) and word inserted (16.5.2022 for specified purposes, 29.7.2022 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2022 (S.I. 2022/466), arts. 1(3), 6(2)(b)"
    },
    {
      "type": "F",
      "label": "F24",
      "text": "S. 165(12) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 9 para. 4(3); S.I. 2022/163, reg. 2(a)"
    },
    {
      "type": "F",
      "label": "F25",
      "text": "S. 165(13) inserted (16.5.2022 for specified purposes, 29.7.2022 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2022 (S.I. 2022/466), arts. 1(3), 6(2)(c)"
    },
    {
      "type": "F",
      "label": "F26",
      "text": "Word in s. 165 heading substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 12 para. 1(9) (with Sch. 20); S.I. 2013/423, art. 3, Sch."
    },
    {
      "type": "F",
      "label": "F27",
      "text": "S. 165: words in heading inserted (8.6.2010) by Financial Services Act (c. 28), ss. 24(1), 26(2)(d)(e), {Sch. 2 para. 15}"
    },
    {
      "type": "C",
      "label": "C1",
      "text": "S. 165 amended (1.12.2001) by S.I. 2001/2657, arts. 1(1), 15(1) (which was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23); S.I. 2001/3538, art. 2(1)S. 165 amended (temp. from 11.8.2001 to 1.12.2001) by S.I. 2001/2659, arts. 1(2), 2; S.I. 2001/3538, art. 2(1)S. 165 amended (1.12.2001) by S.I. 2001/3083, arts. 1(2), 15(1); S.I. 2001/3538, art. 2(1)"
    },
    {
      "type": "C",
      "label": "C2",
      "text": "S. 165 modified (temp.) (8.4.2002) by The Financial Services and Markets Act 2000 (Permission and Applications) (Credit Unions etc.) Order 2002 (S.I. 2002/704), art. 8(1)(3)"
    },
    {
      "type": "C",
      "label": "C3",
      "text": "S. 165 amended (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 12(3)"
    },
    {
      "type": "C",
      "label": "C4",
      "text": "S. 165 applied (with modifications) (6.3.2008) by The Regulated Covered Bonds Regulations 2008 (S.I. 2008/346), reg. 46, Sch. para. 3"
    },
    {
      "type": "C",
      "label": "C5",
      "text": "S. 165 applied (with modifications) (31.12.2011) by The Financial Services and Markets Act 2000 (Permissions, Transitional Provisions and Consequential Amendments) (Northern Ireland Credit Unions) Order 2011 (S.I. 2011/2832), art. 9"
    },
    {
      "type": "C",
      "label": "C6",
      "text": "S. 165 applied (22.7.2013) by The Alternative Investment Fund Managers Regulations 2013 (S.I. 2013/1773), regs. 1, 71(1)(a)"
    },
    {
      "type": "C",
      "label": "C7",
      "text": "S. 165 modified in part (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013 (S.I. 2013/1881), arts. 1(2)(6), 50(1)"
    },
    {
      "type": "C",
      "label": "C8",
      "text": "S. 165 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013 (S.I. 2013/1881), arts. 1(2)(6), 12(9)"
    },
    {
      "type": "C",
      "label": "C9",
      "text": "Pt. 11 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882), arts. 1(1), 3(5)"
    },
    {
      "type": "C",
      "label": "C10",
      "text": "S. 165 applied (20.4.2015 for specified purposes, 21.12.2015 for specified purposes, 21.3.2016 in so far as not already in force) by The Mortgage Credit Directive Order 2015 (S.I. 2015/910), arts. 1(5), 23(2)(a) (with Pt. 4)"
    },
    {
      "type": "C",
      "label": "C11",
      "text": "S. 165 modified (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 55(4)"
    },
    {
      "type": "C",
      "label": "C12",
      "text": "Pt. 11 modified (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 82(13)"
    },
    {
      "type": "C",
      "label": "C13",
      "text": "S. 165 modified (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 50(3)"
    },
    {
      "type": "C",
      "label": "C14",
      "text": "S. 165 applied by S.I. 2018/1149, reg. 60 (as inserted (1.3.2019) by The Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019 (S.I. 2019/405), regs. 1(2), 3)"
    },
    {
      "type": "C",
      "label": "C15",
      "text": "S. 165 applied (with modifications) by S.I. 2018/1201, Sch. 3 para. 32A(2) (as substituted (6.9.2019) by The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212), regs. 1(2), 7(15))"
    },
    {
      "type": "C",
      "label": "C16",
      "text": "S. 165 applied (with modifications) by S.I. 2018/1201, Sch. 3 para. 12H(2) (as substituted (6.9.2019) by The Financial Services (Electronic Money, Payment Services and Miscellaneous Amendments) (EU Exit) Regulations 2019 (S.I. 2019/1212), regs. 1(2), 7(8))"
    },
    {
      "type": "C",
      "label": "C17",
      "text": "S. 165 applied (31.12.2020) by The Electronic Commerce and Solvency 2 (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/1361), regs. 1(2), 20 (as amended by S.I. 2019/1390, regs. 1(2), 6); 2020 c. 1, Sch. 5 para. 1(1)"
    },
    {
      "type": "C",
      "label": "C18",
      "text": "Pt. 11 applied in part (with modifications) (31.12.2020) by The Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/335), regs. 1(1), 75 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)"
    },
    {
      "type": "C",
      "label": "C19",
      "text": "Pt. 11 applied in part (with modifications) (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 36 (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)"
    },
    {
      "type": "C",
      "label": "C20",
      "text": "Pt. 11 applied (with modifications) (31.12.2020) by The Credit Rating Agencies (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/266), regs. 1(3), 18(1) (as amended by S.I. 2020/1384, regs. 1(4), 50(3)) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)"
    },
    {
      "type": "C",
      "label": "C21",
      "text": "S. 165 applied (31.5.2021) by The Civil Liability Act 2018 (Financial Conduct Authority) (Whiplash) Regulations 2021 (S.I. 2021/594), regs. 1, 2(4)(a)"
    },
    {
      "type": "C",
      "label": "C22",
      "text": "S. 165 applied (with modifications) (8.6.2023 for specified purposes, 7.10.2023 in so far as not already in force) by The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2023 (S.I. 2023/612), art. 1(2), Sch. para. 14 (with art. 11)"
    },
    {
      "type": "C",
      "label": "C23",
      "text": "S. 165 applied (temp.) (16.12.2025 for specified purposes and 29.6.2028 otherwise) by The Financial Services and Markets Act 2000 (Regulated Activities) (ESG Ratings) Order 2025 (S.I. 2025/1349), arts. 2, 17 (with art. 20)"
    },
    {
      "type": "C",
      "label": "C24",
      "text": "S. 165 applied (1.1.2026) by The Financial Services and Markets Act 2023 (Mutual Recognition Agreement) (Switzerland) Regulations 2025 (S.I. 2025/1145), regs. 1(2), 35"
    },
    {
      "type": "C",
      "label": "C25",
      "text": "S. 165 applied (25.2.2026 for specified purposes) by The Financial Services and Markets Act 2000 (Cryptoassets) Regulations 2026 (S.I. 2026/102), regs. 1(2)(3), 61(a) (with regs. 53-56)"
    },
    {
      "type": "C",
      "label": "C26",
      "text": "S. 165 applied (with modifications) (14.1.2025 for specified purposes, 13.7.2026 in so far as not already in force) by The Short Selling Regulations 2025 (S.I. 2025/29), regs. 2(2)(3), 24, Sch. 1 Pt. 1; S.I. 2026/587, reg. 2(b)"
    },
    {
      "type": "C",
      "label": "C27",
      "text": "S. 165(1)(2) extended (1.12.2001) by S.I. 2001/3646, arts. 1(1), 2(1)(3)(a)"
    },
    {
      "type": "C",
      "label": "C28",
      "text": "S. 165(1)-(6) applied (with modifications) (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), regs. 1(2), 14"
    },
    {
      "type": "C",
      "label": "C29",
      "text": "S. 165(1)(3) modified (14.1.2025 for specified purposes, 13.7.2026 in so far as not already in force) by The Short Selling Regulations 2025 (S.I. 2025/29), regs. 2(2)(3), 25(1); S.I. 2026/587, reg. 2(b)"
    },
    {
      "type": "C",
      "label": "C30",
      "text": "S. 165(2) applied (with modifications) (11.4.2002 for certain purposes and 27.4.2002 otherwise) by The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (S.I. 2001/544), art. 9G(6) (as inserted by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002 (S.I. 2002/682), arts. 1(2), 4)"
    },
    {
      "type": "C",
      "label": "C31",
      "text": "S. 165(5)(6) extended (1.12.2001) by S.I. 2001/3646, arts. 1(1), 2(3)(b)(c)"
    },
    {
      "type": "C",
      "label": "C32",
      "text": "S. 165(5) applied (with modifications) (11.4.2002 for certain purposes and 27.4.2002 otherwise) by The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (S.I. 2001/544), art. 9G(6) (as inserted by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002 (S.I. 2002/682), arts. 1(2), 4)"
    },
    {
      "type": "C",
      "label": "C33",
      "text": "S. 165(6) applied (with modifications) (11.4.2002 for certain purposes and 27.4.2002 otherwise) by The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (S.I. 2001/544), art. 9G(6) (as inserted by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002 (S.I. 2002/682), arts. 1(2), 4)"
    },
    {
      "type": "C",
      "label": "C34",
      "text": "S. 165(9)(10) applied (with modifications) (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), regs. 1(2), 14"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/ukpga/2000/8/section/165",
    "retrieved_at": "2026-10-29T09:21:21.899993+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}