Statutory Instrument 1995 No. 3272

The Uncertificated Securities Regulations 1995

(The document as of February, 2008)

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STATUTORY INSTRUMENTS

1995 No. 3272

COMPANIES

The Uncertificated Securities Regulations 1995

Made	18th December 1995

Coming into force

19th December 1995

ARRANGEMENT OF THE REGULATIONS

PART I
CITATION, COMMENCEMENT AND INTERPRETATION
1.	Citation and commencement
2.	Purposes and basic definitions
3.	Interpretation
PART II
THE OPERATOR
Approval and compliance
4.	Applications for approval
5.	Grant and refusal of approval
6.	Fees
Supervision
7.	Withdrawal of approval
8.	Compliance orders and directions
9.	Injunctions and restitution orders
10.	Provision of information by Operators
Miscellaneous
11.	Delegation of Treasury Functions
12.	International Obligations
13.	Prevention of restrictive practices
Part III
PARTICIPATING ISSUERS
Participation by issuers
14-16.	Participation in respect of shares
17.	Interpretation of regulations 15 and 16
18.	Participation in respect of securities other than shares
Keeping of registers
19.	Entries on registers
20.	Effect of entries on registers
21.	Rectification of and changes to registers of securities
22.	Closing registers
23.	Registration of transfers of securities
24.	Registration of linked transfers
25.	Position of transferee prior to entry on register
Conversions and new issues
26.	Conversion of securities into certificated form
27.	Conversion of securities into uncertificated form
28.	New Issues in uncertificated form
PART IV
DEMATERIALISED INSTRUCTIONS ETC.
29.	Properly authenticated dematerialised instructions
30.	Liability for forged dematerialised instructions and induced Operator-instructions
PART V
MISCELLANEOUS AND SUPPLEMENTAL
Miscellaneous
31.	Construction of references to transfers etc.
32.	Certain formalities and requirements not to apply
33.	Trusts, trustees and personal representatives etc.
34.	Notices of meetings
35.	Notices to minority shareholders
36.	Irrevocable powers of attorney
Defaults and contraventions
37.	Breaches of statutory duty
38.	Liability of officers for contraventions
Northern Ireland
39.	Application to Northern Ireland
Amendments and revocations
40.	Minor and consequential amendments
41.	Revocations

THE SCHEDULES
	Schedule 1	Requirements for approval of a person as Operator
	Schedule 2	Prevention of restrictive practices
	Schedule 3	Adaptations in respect of Northern Ireland

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