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