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The Short Selling Regulations 2025
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Part 3Application of FSMA 2000 for the purposes of regulation 26
7. The provisions of FSMA 2000 mentioned in the Table in paragraph 9 apply for the purposes of regulation 26 in accordance with—
(a)the general modifications mentioned in paragraph 8 (unless otherwise specified in the Table in relation to a particular provision),
(b)the specific modifications (if any) mentioned in the Table in relation to a particular provision, and
(c)any other necessary modifications.
8. The general modifications are—
(a)references to a regulator are to be read as references to the FCA;
(b)references to an authorised person are to be read as references to a person in relation to whom the FCA may publish a statement or impose a penalty by virtue of regulation 26 (and references to a person who has at any time been an authorised person are to be read accordingly).
9. This Table sets out the applied provisions of FSMA 2000 in the first column with specific modifications in relation to an applied provision mentioned in the corresponding entry in the second column—
| Provision of FSMA 2000 | Modifications etc |
|---|---|
| Section 207 (proposal to take disciplinary measures) | |
| Section 208 (decision notice) | |
| Section 209 (publication) | |
| Section 210 (statements of policy) | |
| Section 211 (statements of policy: procedure) | |
| Section 387 (warning notices: procedure etc.) | |
| Section 388 (decision notices: procedure etc.) | |
| Section 389 and 390 (conclusion of proceedings) | |
| Section 391 (publication) | |
| Section 392 to 394 (third party rights and access to evidence) | |
| Section 395 (the FCA’s and PRA’s procedures) | |
| Section 396 (statements under section 395: consultation) | |
| Section 415B (consultation in relation to taking certain enforcement action) | |
| Paragraphs 19 to 22 of Schedule 1ZA (the FCA: penalties) | The general modification in paragraph 8(b) does not apply in relation to references to authorised persons in paragraph 21 of Schedule 1ZA. |
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