OpenLegislation

The Data Reporting Services Regulations 2017 (revoked)

S.I. 2017/699 · Made 21 June 2017 · Extends to United Kingdom

Not fully up to date. 1 change made by later legislation has not yet been written into this text, which is revised to 5 April 2024.

See the changes not yet applied
ProvisionChangeMade by
Regulationspower to amend conferredFinancial Services Act 2021 s. 23

Financial Services And Markets

Made 21st June 2017

Laid before Parliament 22nd June 2017

Coming into force in accordance with regulation 1(2)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Annotations to the whole text

Textual amendments

F1

Regulations revoked (5.4.2024) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 2 (with s. 1(4) and with savings and transitional provisions in S.I. 2024/107, regs. 38-43); S.I. 2023/1382, reg. 4(c)

Contents

  1. Part 1: Introductory Provisions Repealed
  2. 1Citation and commencement Repealed
  3. 2Interpretation Repealed
  4. 2AReferences to EU Regulations etc Repealed
  5. 3CTP definition and conditions Repealed
  6. 4Retained EU law Repealed
  7. Part 2: Authorisation of Data Reporting Services Repealed
  8. 5Prohibition on provision of data reporting service Repealed
  9. 6Register of data reporting service providers Repealed
  10. 7Application for authorisation to provide a data reporting service Repealed
  11. 8Application for verification of compliance with these Regulations Repealed
  12. 9Conditions for authorisation to provide a data reporting service Repealed
  13. 10Determination of an application for authorisation to provide a data reporting service Repealed
  14. 11Cancellation of an authorisation to provide a data reporting service Repealed
  15. 12Variation of an authorisation to provide data reporting services Repealed
  16. 12ADeemed authorisation to provide a data reporting service Repealed
  17. 12BRegulator response Repealed
  18. 12CPeriod during which regulation 12A is to apply Repealed
  19. Part 3: Operating Requirements Repealed
  20. 13Requirements for the management body of a data reporting service provider Repealed
  21. 14Conditions for an APA Repealed
  22. 15Conditions for a CTP Repealed
  23. 16Conditions for an ARM Repealed
  24. Part 4: Administration and enforcement Repealed
  25. Chapter 1: The FCA Repealed
  26. Functions of the FCA Repealed
  27. 17Functions of the FCA Repealed
  28. 18Monitoring and enforcement Repealed
  29. 19Co-operation and consultation Repealed
  30. 20Guidance Repealed
  31. 21Reporting requirements Repealed
  32. Restrictions on authorisation Repealed
  33. 22Restrictions on authorisation to carry on data reporting services Repealed
  34. Administrative sanctions Repealed
  35. 23Public censure Repealed
  36. 24Financial penalties Repealed
  37. 25Warning notice Repealed
  38. 26Decision notice Repealed
  39. 27Statements of policy Repealed
  40. 28Statements of policy: procedure Repealed
  41. Offences Repealed
  42. 29Misleading the FCA Repealed
  43. 30Breach of the prohibition on provision of data reporting service Repealed
  44. 31Restriction on penalties Repealed
  45. Chapter 2: Application of the Act for the purposes of the Regulations Repealed
  46. 32Application of Part 9 of the Act (hearings and appeals) Repealed
  47. 33Application of Part 11 of the Act (information gathering and investigations) Repealed
  48. 34Information given by an auditor Repealed
  49. 35Restrictions on disclosure of information Repealed
  50. 36Application of Part 25 of the Act (injunctions and restitution) Repealed
  51. 37Application of Part 26 of the Act (notices) Repealed
  52. 38Application of Part 27 of the Act (offences) Repealed
  53. 39Application of section 413 of the Act (protected items) Repealed
  54. 40FCA: penalties, fees and exemption from liability in damages Repealed
  55. Chapter 3: Application of secondary legislation for the purposes of the Regulations Repealed
  56. 41Service of notices Repealed
  57. 42Disclosure of confidential information Repealed
  58. 43Communications by auditors Repealed
  59. Part 5: Miscellaneous Repealed
  60. 44Record keeping Repealed
  61. 45Reporting of infringements Repealed
  62. 46Application to Gibraltar Repealed
  63. 47Applications for authorisation and verification: CTP definition and conditions Repealed
  64. 48Review Repealed
  65. Signature
  66. Explanatory note

1Citation and commencementF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2InterpretationF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2AReferences to EU Regulations etcF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3CTP definition and conditionsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4Retained EU lawF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5Prohibition on provision of data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6Register of data reporting service providersF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7Application for authorisation to provide a data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8Application for verification of compliance with these RegulationsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9Conditions for authorisation to provide a data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10Determination of an application for authorisation to provide a data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11Cancellation of an authorisation to provide a data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12Variation of an authorisation to provide data reporting servicesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12ADeemed authorisation to provide a data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12BRegulator responseF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12CPeriod during which regulation 12A is to applyF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13Requirements for the management body of a data reporting service providerF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14Conditions for an APAF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15Conditions for a CTPF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16Conditions for an ARMF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17Functions of the FCAF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18Monitoring and enforcementF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19Co-operation and consultationF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20GuidanceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21Reporting requirementsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

22Restrictions on authorisation to carry on data reporting servicesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23Public censureF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24Financial penaltiesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25Warning noticeF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26Decision noticeF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27Statements of policyF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

28Statements of policy: procedureF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

29Misleading the FCAF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

30Breach of the prohibition on provision of data reporting serviceF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

31Restriction on penaltiesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

32Application of Part 9 of the Act (hearings and appeals)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

33Application of Part 11 of the Act (information gathering and investigations)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34Information given by an auditorF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35Restrictions on disclosure of informationF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

36Application of Part 25 of the Act (injunctions and restitution)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

37Application of Part 26 of the Act (notices)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38Application of Part 27 of the Act (offences)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

39Application of section 413 of the Act (protected items)F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

40FCA: penalties, fees and exemption from liability in damagesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

41Service of noticesF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

42Disclosure of confidential informationF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

43Communications by auditorsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

44Record keepingF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

45Reporting of infringementsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46Application to GibraltarF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47Applications for authorisation and verification: CTP definition and conditionsF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

48ReviewF1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Signature

F1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Explanatory note

F1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .