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Financial Services and Markets Act 2000

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Financial Services and Markets Act 2000, Section 191A is up to date with all changes known to be in force on or before 01 December 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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[F1191AObjection by the [F2appropriate regulator]U.K.

This adran has no associated Nodiadau Esboniadol

(1) The [F2appropriate regulator] may object to a person's control over a UK authorised person in any of the circumstances specified in subsection (2).

(2)The circumstances are that the [F2appropriate regulator] reasonably believes that—

(a)the person acquired or increased control without giving notice under section 178(1) in circumstances where notice was required;

(b)the person is in breach of a condition imposed under section 187; or

(c)there are grounds for objecting to control on the basis of the matters in section 186.

(3)The [F2appropriate regulator]—

(a)must take into account whether influence exercised by the person is likely to operate to the detriment of the sound and prudent management of the UK authorised person; and

(b)may take into account whether the person has co-operated with any information requests made or requirements imposed by the [F2appropriate regulator].

(4)If the [F2appropriate regulator] proposes to object to a person's control over a UK authorised person, it must give that person a warning notice.

[F3(4A)Where the appropriate regulator is the PRA, it must consult the FCA before giving a warning notice under this section.

(4B)Where the appropriate regulator is the FCA, it must consult the PRA before giving a warning notice under this section if—

(a)the UK authorised person has as a member of its immediate group a PRA-authorised person, or

(b)the person to whom the warning notice is to be given is a PRA-authorised person.]

F4(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6)If the [F2appropriate regulator] decides to object to a person's control over a UK authorised person, it must give that person a decision notice.

(7)A person to whom the [F2appropriate regulator] gives a decision notice under this section may refer the matter to the Tribunal.]

Textual Amendments

F1Ss. 178-191G and cross-headings substituted (21.3.2009) for ss. 178-191 and cross-headings by The Financial Services and Markets Act 2000 (Controllers) Regulations 2009 (S.I. 2009/534), reg. 3, Sch. 1 (with reg. 8)

F2Words in Pt. 12 substituted (1.4.2013) by Financial Services Act 2012 (c. 21), ss. 26(2), 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.

F3S. 191A(4A)(4B) inserted (1.4.2013) by Financial Services Act 2012 (c. 21), ss. 26(7), 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.

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