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Your Search for: Legislation type All Legislation; title Uncertificated Securities Regulations ; year 2001; produced the following results within this item of legislation
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        The Uncertificated Securities Regulations 2001 (No. 3755)
        Introductory Text
        Main body
        PART 1 CITATION, COMMENCEMENT, AND INTERPRETATION
        1. Citation and commencement
        2. Purposes and basic definition
        3. Interpretation
        PART 2 THE OPERATOR
        APPROVAL AND COMPLIANCE
        4. Applications for approval
        5. Grant and refusal of approval
        6. Fees charged by the Treasury
        SUPERVISION
        7. Withdrawal of approval
        8. Compliance orders and directions
        9. Injunctions and restitution orders
        10. Provision of information by Operators
        11. Delegation of Treasury functions
        12. International obligations
        13. Prevention of restrictive practices
        PART 3 PARTICIPATING SECURITIES
        PARTICIPATION BY ISSUERS
        14. Where Participation in respect of shares
        15. {This regulation applies to a class of shares if the company's articles of association are in al...}
        16. {- This regulation applies to a class of shares if a company's articles of association in any re...}
        17. {- A class of shares in relation to which, immediately before the coming into force of these Reg...}
        18. Interpretation of regulations 15, 16 and 17
        19. Participation in respect of securities other than shares
        KEEPING OF REGISTERS AND RECORDS
        20. Entries on registers and records in respect of shares
        21. Entries on registers and records in respect of public sector securities
        22. Entries on registers and records in respect of other securities
        23. General provisions concerning keeping registers and records
        24. Effect of entries on registers
        25. Rectification of registers of securities
        26. Closing registers
        27. Registration by an Operator of transfers of securities
        28. Registration by a participating issuer of transfers of securities upon conversion into certificated form
        29. Registration to be in accordance with regulations 27 and 28
        30. Registration of linked transfers
        31. Position of a transferee prior to entry on an issuer register of securities
        CONVERSIONS AND NEW ISSUES
        32. Conversion of securities into certificated form
        33. Conversion of securities into uncertificated form
        34. New issues in uncertificated form
        PART 4 DEMATERIALISED INSTRUCTIONS ETC.
        35. Properly authenticated dematerialised instructions, etc.
        36. Liability for forged dematerialised instructions, induced amendments to Operator registers of securities, and induced Operator-instructions
        PART 5 MISCELLANEOUS AND SUPPLEMENTAL
        MISCELLANEOUS
        37. Construction of references to transfers etc.
        38. Certain formalities and requirements not to apply
        39. Fees charged by Operators
        40. Trusts, trustees and personal representatives etc.
        41. Notices of meetings etc.
        42. Notices to minority shareholders
        43. Irrevocable powers of attorney
        44. Actual notice
        45. Participating securities issued in uncertificated form
        DEFAULTS AND CONTRAVENTIONS
        46. Breaches of statutory duty
        47. Liability of officers for contraventions
        48. Exemption from liability
        NORTHERN IRELAND
        49. Application to Northern Ireland
        TRANSITORY PROVISIONS, AMENDMENTS AND REVOCATIONS
        50. Transitory provisions
        51. Minor and consequential amendments
        52. Revocations
        Signatures
        Schedules
        SCHEDULE 1 REQUIREMENTS FOR APPROVAL OF A PERSON AS OPERATOR
        SCHEDULE 2 PREVENTION OF RESTRICTIVE PRACTICES
        SCHEDULE 3 PROCEDURE FOR REFUSAL OR WITHDRAWAL OR APPROVAL AS AN OPERATOR, OR FOR GIVING DIRECTIONS, ETC.
        SCHEDULE 4 KEEPING OF REGISTERS AND RECORDS OF PARTICIPATING SECURITIES
        SCHEDULE 5 ADAPTATIONS IN RESPECT OF NORTHERN IRELAND
        SCHEDULE 6 TRANSITORY PROVISIONS
        SCHEDULE 7 MINOR AND CONSEQUENTIAL AMENDMENTS
        Part 1 Primary Legislation
        Part 2 Subordinate Legislation
        End Matter

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