{
  "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001",
  "json_url": "https://openlegislation.uk/uncertificated-securities-regulations-2001.json",
  "id": "uksi/2001/3755",
  "title": "The Uncertificated Securities Regulations 2001",
  "short_title": "Uncertificated Securities 2001",
  "long_title": null,
  "citation": "S.I. 2001/3755",
  "type": "uksi",
  "year": "2001",
  "number": "3755",
  "version": "current",
  "date": "2001-11-23",
  "revised": true,
  "valid_from": "2024-03-04",
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 0,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/introduction",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "part/1",
      "kind": "part",
      "number": "1",
      "heading": "CITATION, COMMENCEMENT, AND INTERPRETATION",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/1",
      "kind": "regulation",
      "number": "1",
      "heading": "Citation and commencement",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "regulation/2",
      "kind": "regulation",
      "number": "2",
      "heading": "Purposes and basic definition",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "regulation/3",
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      "number": "3",
      "heading": "Interpretation",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "part/2",
      "kind": "part",
      "number": "2",
      "heading": "THE OPERATOR",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "part/2/crossheading/approval-and-compliance",
      "kind": "crossheading",
      "number": null,
      "heading": "APPROVAL AND COMPLIANCE",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/4",
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      "number": "4",
      "heading": "Applications for approval",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-4",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/2/crossheading/approval-and-compliance"
    },
    {
      "path": "regulation/5",
      "kind": "regulation",
      "number": "5",
      "heading": "Operating conditions for relevant system",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2/crossheading/approval-and-compliance"
    },
    {
      "path": "regulation/6",
      "kind": "regulation",
      "number": "6",
      "heading": "Fees charged by the Bank of England",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-6",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2/crossheading/approval-and-compliance"
    },
    {
      "path": "part/2/crossheading/supervision",
      "kind": "crossheading",
      "number": null,
      "heading": "SUPERVISION",
      "url": null,
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      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/7",
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      "number": "7",
      "heading": "Withdrawal of approval",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-7",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
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    },
    {
      "path": "regulation/8",
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      "number": "8",
      "heading": "Compliance orders and directions",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-8",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "regulation/9",
      "kind": "regulation",
      "number": "9",
      "heading": "Injunctions and restitution orders",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-9",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "regulation/10",
      "kind": "regulation",
      "number": "10",
      "heading": "Provision of information by Operators",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-10",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "regulation/11",
      "kind": "regulation",
      "number": "11",
      "heading": "Delegation of Treasury functions",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-11",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "regulation/11A",
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      "number": "11A",
      "heading": "Reports by skilled persons",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-11A",
      "extent": null,
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    },
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      "path": "regulation/11B",
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      "heading": "Appointment of persons to carry out general investigations etc.",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-11B",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/12",
      "kind": "regulation",
      "number": "12",
      "heading": "International obligations",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-12",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "regulation/13",
      "kind": "regulation",
      "number": "13",
      "heading": "Prevention of excessive regulatory provision",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-13",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/2/crossheading/supervision"
    },
    {
      "path": "part/3",
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      "number": "3",
      "heading": "PARTICIPATING SECURITIES",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "part/3/crossheading/participation-by-issuers",
      "kind": "crossheading",
      "number": null,
      "heading": "PARTICIPATION BY ISSUERS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/14",
      "kind": "regulation",
      "number": "14",
      "heading": "Participation in respect of shares",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-14",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
    },
    {
      "path": "regulation/15",
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      "number": "15",
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      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-15",
      "extent": null,
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
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    {
      "path": "regulation/16",
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      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-16",
      "extent": null,
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
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    {
      "path": "regulation/17",
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      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-17",
      "extent": null,
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
    },
    {
      "path": "regulation/18",
      "kind": "regulation",
      "number": "18",
      "heading": "Interpretation of regulations 15, 16 and 17",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-18",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
    },
    {
      "path": "regulation/19",
      "kind": "regulation",
      "number": "19",
      "heading": "Participation in respect of securities other than shares",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-19",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/participation-by-issuers"
    },
    {
      "path": "part/3/crossheading/keeping-of-registers-and-records",
      "kind": "crossheading",
      "number": null,
      "heading": "KEEPING OF REGISTERS AND RECORDS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/20",
      "kind": "regulation",
      "number": "20",
      "heading": "Entries on registers and records in respect of shares",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-20",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/21",
      "kind": "regulation",
      "number": "21",
      "heading": "Entries on registers and records in respect of general public sector securities",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-21",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/22",
      "kind": "regulation",
      "number": "22",
      "heading": "Entries on registers and records in respect of other securities",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-22",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/23",
      "kind": "regulation",
      "number": "23",
      "heading": "General provisions concerning keeping registers and records",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-23",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/24",
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      "number": "24",
      "heading": "Effect of entries on registers",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-24",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/25",
      "kind": "regulation",
      "number": "25",
      "heading": "Rectification of registers of securities",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-25",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/26",
      "kind": "regulation",
      "number": "26",
      "heading": "Closing registers",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-26",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/27",
      "kind": "regulation",
      "number": "27",
      "heading": "Registration by an Operator of transfers of securities",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-27",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/28",
      "kind": "regulation",
      "number": "28",
      "heading": "Registration by a participating issuer of transfers of securities upon conversion into certificated form",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-28",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/29",
      "kind": "regulation",
      "number": "29",
      "heading": "Registration to be in accordance with regulations 27 and 28",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-29",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/30",
      "kind": "regulation",
      "number": "30",
      "heading": "Registration of linked transfers",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-30",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "regulation/31",
      "kind": "regulation",
      "number": "31",
      "heading": "Position of a transferee prior to entry on an issuer register of securities",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-31",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/keeping-of-registers-and-records"
    },
    {
      "path": "part/3/crossheading/conversions-and-new-issues",
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      "heading": "CONVERSIONS AND NEW ISSUES",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3"
    },
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      "path": "regulation/32",
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      "number": "32",
      "heading": "Conversion of securities into certificated form",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-32",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/conversions-and-new-issues"
    },
    {
      "path": "regulation/33",
      "kind": "regulation",
      "number": "33",
      "heading": "Conversion of securities into uncertificated form",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-33",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/conversions-and-new-issues"
    },
    {
      "path": "regulation/34",
      "kind": "regulation",
      "number": "34",
      "heading": "New issues in uncertificated form",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-34",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/3/crossheading/conversions-and-new-issues"
    },
    {
      "path": "part/4",
      "kind": "part",
      "number": "4",
      "heading": "DEMATERIALISED INSTRUCTIONS ETC.",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/35",
      "kind": "regulation",
      "number": "35",
      "heading": "Properly authenticated dematerialised instructions, etc.",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-35",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/36",
      "kind": "regulation",
      "number": "36",
      "heading": "Liability for forged dematerialised instructions, induced amendments to Operator registers of securities, and induced Operator-instructions",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-36",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "part/5",
      "kind": "part",
      "number": "5",
      "heading": "MISCELLANEOUS AND SUPPLEMENTAL",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "part/5/crossheading/miscellaneous",
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      "number": null,
      "heading": "MISCELLANEOUS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/37",
      "kind": "regulation",
      "number": "37",
      "heading": "Construction of references to transfers etc.",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-37",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/38",
      "kind": "regulation",
      "number": "38",
      "heading": "Certain formalities and requirements not to apply",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-38",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/39",
      "kind": "regulation",
      "number": "39",
      "heading": "Fees charged by Operators",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-39",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/40",
      "kind": "regulation",
      "number": "40",
      "heading": "Trusts, trustees and personal representatives etc.",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-40",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/41",
      "kind": "regulation",
      "number": "41",
      "heading": "Notices of meetings etc.",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-41",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/42",
      "kind": "regulation",
      "number": "42",
      "heading": "Notices to minority shareholders",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-42",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/43",
      "kind": "regulation",
      "number": "43",
      "heading": "Irrevocable powers of attorney",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-43",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/44",
      "kind": "regulation",
      "number": "44",
      "heading": "Actual notice",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-44",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "regulation/45",
      "kind": "regulation",
      "number": "45",
      "heading": "Participating securities issued in uncertificated form",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-45",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/miscellaneous"
    },
    {
      "path": "part/5/crossheading/defaults-and-contraventions",
      "kind": "crossheading",
      "number": null,
      "heading": "DEFAULTS AND CONTRAVENTIONS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/46",
      "kind": "regulation",
      "number": "46",
      "heading": "Breaches of statutory duty",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-46",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/defaults-and-contraventions"
    },
    {
      "path": "regulation/47",
      "kind": "regulation",
      "number": "47",
      "heading": "Liability of officers for contraventions",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-47",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/defaults-and-contraventions"
    },
    {
      "path": "regulation/48",
      "kind": "regulation",
      "number": "48",
      "heading": "Exemption from liability",
      "url": "https://openlegislation.uk/uncertificated-securities-regulations-2001/regulation-48",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5/crossheading/defaults-and-contraventions"
    },
    {
      "path": "part/5/crossheading/northern-ireland",
      "kind": "crossheading",
      "number": null,
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