Central Bank (Supervision and Enforcement) Act 2013
PART 3 Information, etc. | ||
Chapter 1 Introductory | ||
Persons to whom this Part applies. |
21.— (1) The following are persons to whom this Part applies (whether they are within or outside the State): | |
(a) a regulated financial service provider; | ||
(b) a person who has applied for an authorisation but whose application has not been determined; | ||
(c) a person whom the Bank or an authorised officer reasonably believes is or has been a regulated financial service provider or is or has been acting as, or claiming or holding itself out to be, a regulated financial service provider; | ||
(d) a person who is or has been, or whom the Bank or an authorised officer reasonably believes is or has been, without an authorisation, providing a financial service in respect of which an authorisation is required; | ||
(e) a related undertaking of any of the persons referred to in any of the preceding paragraphs; | ||
(f) any person whom the Bank or an authorised officer reasonably believes may possess or have control of information about— | ||
(i) a financial service, or | ||
(ii) an investment, security or other financial instrument which is, or is to be, admitted to trading under the rules and systems of a regulated market or an equivalent system operating under the law of a territory other than the State; | ||
(g) any other person whom the Bank or an authorised officer reasonably believes may possess information about a person referred to in any of the preceding paragraphs; | ||
(h) a person who is, in relation to a person referred to in any of the preceding paragraphs, a person mentioned in subsection (2); | ||
(i) a person who is or has been an officer or employee or agent of a person referred to in any of the preceding paragraphs or is, in relation to a person who is or has been such an officer, employee or agent, a person mentioned in subsection (2). | ||
(2) The persons referred to in subsection (1)(h) and (i) are— | ||
(a) an administrator within the meaning of section 1(1) of the Insurance (No. 2) Act 1983 , | ||
(b) an administrator within the meaning of section 2 of the Investor Compensation Act 1998 , | ||
(c) a person appointed as an administrator of a credit union by virtue of section 137 of the Credit Union Act 1997 or appointed to act as a provisional administrator of a credit union by virtue of section 138 of that Act, | ||
(d) a special manager appointed pursuant to the Credit Institutions (Stabilisation) Act 2010 , | ||
(e) a special manager appointed pursuant to the Central Bank and Credit Institutions (Resolution) Act 2011 , | ||
(f) an examiner, liquidator, receiver or official assignee, and | ||
(g) a person with functions corresponding to those of any of the persons within the preceding paragraphs under the law of a territory other than the State. | ||
(3) In subsection (1)(i) “agent”, in relation to a person referred to in subsection (1)(a) to (h), includes a past (as well as a present) agent and includes the person’s banker, accountant, solicitor, auditor and financial or other adviser. |