Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

EG 3.8 1Information requests and investigations to assist overseas regulators in relation to short selling

EG 3.8.1RP

1The FCA may use its section 131E power to require information and documents from natural or legal persons to support both its monitoring and its enforcement functions.

EG 3.8.2RP

1An officer with authorisation from the FCA may exercise the section 131E power to require information and documents from natural or legal persons. This includes an FCA employee or an agent of the FCA.

EG 3.8.3RP

1The FCA's power to conduct investigations to assist overseas regulators2 in respect of the short selling regulation is contained in section 131FA of the Act. The section provides that at the request of an overseas regulator2 or ESMA, the FCA may either use its power under section 131E to require the production of information, or appoint a person to investigate any matter.

EG 3.8.4RP

[deleted]2

1