
2017 No. 699
Financial Services And Markets
The Data Reporting Services Regulations 2017 (revoked)
Made 21st June 2017
Laid before Parliament 22nd June 2017
Coming into force in accordance with regulation 1(2)
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PART 1 Introductory Provisions
Citation and commencement
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Interpretation
2 
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References to EU Regulations etc
2A 
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CTP definition and conditions
3 
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Retained EU law
4 
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PART 2 Authorisation of Data Reporting Services
Prohibition on provision of data reporting service
5 
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Register of data reporting service providers
6 
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Application for authorisation to provide a data reporting service
7 
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Application for verification of compliance with  these Regulations 
8 
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Conditions for authorisation to provide a data reporting service
9 
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Determination of an application for authorisation to provide a data reporting service
10 
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Cancellation of an authorisation to provide a data reporting service
11 
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Variation of an authorisation to provide data reporting services
12 
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Deemed authorisation to provide a data reporting service
12A 
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Regulator response
12B 
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Period during which regulation 12A is to apply
12C 
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PART 3 Operating Requirements
Requirements for the management body of a data reporting service provider
13 
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Conditions for an APA
14 
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Conditions for a CTP
15 
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Conditions for an ARM
16 
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PART 4 Administration and enforcement
CHAPTER 1
The FCA
Functions of the FCA
Functions of the FCA
17 
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Monitoring and enforcement
18 
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Co-operation and consultation
19 
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Guidance
20 
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Reporting requirements
21 
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Restrictions on authorisation
Restrictions on authorisation to carry on data reporting services
22 
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Administrative sanctions
Public censure
23 
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Financial penalties
24 
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Warning notice
25 
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Decision notice
26 
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Statements of policy
27 
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Statements of policy: procedure
28 
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Offences
Misleading the FCA
29 
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Breach of the prohibition on provision of data reporting service
30 
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Restriction on penalties
31 
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CHAPTER 2
Application of the Act for the purposes of the Regulations
Application of Part 9 of the Act (hearings and appeals)
32 
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Application of Part 11 of the Act (information gathering and investigations)
33 
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Information given by an auditor
34 
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Restrictions on disclosure of information
35 
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Application of Part 25 of the Act (injunctions and restitution)
36 
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Application of Part 26 of the Act (notices)
37 
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Application of Part 27 of the Act (offences)
38 
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Application of section 413 of the Act (protected items)
39 
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FCA: penalties, fees and exemption from liability in damages
40 
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CHAPTER 3
Application of secondary legislation for the purposes of the Regulations
Service of notices
41 
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Disclosure of confidential information
42 
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Communications by auditors
43 
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PART 5 Miscellaneous
Record keeping
44 
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Reporting of infringements
45 
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Application to Gibraltar
46 
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Applications for authorisation and verification: CTP definition and conditions
47 
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Review
48 
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