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Submitted URL: https://service.betterregulation.com/document/398713#para_T09354902082019ID1R155497
Effective URL: https://service.betterregulation.com/document/398713
Submission: On November 13 via api from UA — Scanned from PL
Effective URL: https://service.betterregulation.com/document/398713
Submission: On November 13 via api from UA — Scanned from PL
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* Domestic Legislation
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1. Irish Financial Services Law
2. Legislation (IE)
3. Statutory Instruments
4. 2019
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* Information
* Table of Contents
Table of Contents
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* European Union (Prospectus) Regulations 2019 [S.I. No. 380 of 2019]
* Introductory Text
* Part 1 Preliminary (regs. 1-3)
* Regulation 1 Citation and commencement
* Regulation 2 Interpretation
* Regulation 3 Exemption from obligation to publish prospectus
* Part 2 Bank as competent authority (regs. 4-7)
* Regulation 4 Designation of Bank as competent authority
* Regulation 5 Delegation of functions of Bank
* Regulation 6 Liability of Bank and other bodies
* Regulation 7 Decisions of Bank
* Part 3 Powers of Bank (regs. 8-11)
* Regulation 8 Powers of Bank
* Regulation 9 Consultation with market operators
* Regulation 10 Advertising
* Regulation 11 Directions by Bank
* Part 4 Authorised officers and related matters (regs. 12-15)
* Regulation 12 Definitions - Part 4
* Regulation 13 Power to appoint authorised officers
* Regulation 14 Powers of authorised officers
* Regulation 15 Warrants
* Part 5 Enforcement (reg. 16-34)
* Chapter 1 Definitions (reg. 16)
* Regulation 16 Definitions - Part 5
* Chapter 2 Assessment (regs. 17-23)
* Regulation 17 Appointment of assessor
* Regulation 18 Revocation of appointment of assessor
* Regulation 19 Power to require witnesses to appear and give evidence
* Regulation 20 Referral to Court on question of law
* Regulation 21 Issue of assessments
* Regulation 22 Power to correct assessments
* Regulation 23 Right of appeal against adverse assessment (including
specified sanctions)
* Chapter 3 Sanctions (regs. 24-30)
* Regulation 24 Sanctions that may be imposed
* Regulation 25 Determination of appropriate sanction
* Regulation 26 When specified sanctions take effect
* Regulation 27 Enforcement of adverse assessment (including specified
sanctions)
* Regulation 28 Publication of decisions
* Regulation 29 Person not liable to be penalised twice for same
contravention
* Regulation 30 Disqualification: obligation on regulated financial
service provider
* Chapter 4 Resolution of Contraventions (reg. 31)
* Regulation 31 Power of Bank to resolve suspected contraventions
* Chapter 5 Offences (regs. 32-33)
* Regulation 32 False etc. information
* Regulation 33 Certain offences and penalties generally
* Chapter 6 Reporting of Contraventions (reg. 34)
* Regulation 34 Reporting of contraventions
* Part 6 Miscellaneous provisions (regs. 35-40)
* Regulation 35 Responsibility attaching to prospectus
* Regulation 36 Use of language
* Regulation 37 Fees
* Regulation 38 Revocations
* Regulation 39 Amendment of Act of 1942
* Regulation 40 Amendment of Act of 2014
* Schedule - Responsible Persons
* Given under
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1. European Union (Prospectus) Regulations 2019 [S.I. No. 380 of 2019]
2. Part 4 Authorised officers and related matters (regs. 12-15)
3. Regulation 14 Powers of authorised officers
Previous Next
Version status: In force | Document consolidation status: Updated to reflect all
known changes
Version date: 21 July 2019 - onwards
Version 2 of 2
REGULATION 14 POWERS OF AUTHORISED OFFICERS
(1) An authorised officer may, for the purpose of carrying out an investigation
for the purpose of monitoring compliance with the Prospectus Regulation and
these Regulations, do all or any of the following:
(a) subject to paragraph (2), at all reasonable times enter any place at which
there are reasonable grounds to believe that there are any relevant records;
(b) search and inspect the place referred to in subparagraph (a) and any
relevant records at that place;
(c) secure for later inspection any place, or any part of any place at which
relevant records are kept or at which the officer has reasonable grounds for
believing relevant records are kept;
(d) require any person to whom these Regulations or the Prospectus Regulation
apply to produce to the officer relevant records, and if the relevant records
are in a non-legible form to reproduce them in a legible form or to give to the
officer such information as the officer reasonably requires in relation to
entries in the relevant record
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