- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (29/06/2023)
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Version Superseded: 29/08/2023
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Financial Services and Markets Act 2000, Section 392 is up to date with all changes known to be in force on or before 03 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.
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Sections 393 and 394 apply to—
(a)a warning notice given in accordance with section [F155Z(1)], 57(1), 63(3), [F263B(1),] 67(1), 88(4)(b), [F3section 88B(1),] 92(1), 126(1), [F4131H(1),] [F5142T(1),] [F6143N(1), 143T(1), 143U(2), 143X(1),] [F7192L(1) [F8, 192R(8), 192Z(1)],] 207(1), 255(1), [F9261V(1),] [F10271N(2), 271R(3),] 280(1), [F11282B(3),] [F12309C(1)(b), 309P(1)(b), 309V(1), 309Z4(1),] [F13section 312G(1),] 331(1), [F14345B(1) (whether as a result of section 345(2), 345A(3)] or section 249(1) [F15or 261K(1)]) [F16, 385(1) or 412B(4) or (8)] [F17or paragraph 5(6) of Schedule 6A];
(b)a decision notice given in accordance with section [F1855Z(2)], 57(3), 63(4), [F1963B(3),] 67(4), 88(6)(b), [F20section 88B(5),] 92(4), 127(1), [F21131H(4),] [F22142T(4),] [F23143N(2), 143T(3), 143U(2), 143X(5),] [F24192L(4) [F25, 192R(9), 192Z(4)],] 208(1), 255(2), [F26261V(2),] [F27271N(3), 271R(4),] 280(2), [F28282B(4),] [F29309C(3), 309P(2), 309V(3), 309Z4(6)] [F30section 312H(1),] 331(3), [F31345B(4) (whether as a result of section 345(2), 345A(3)] or section 249(1) [F32or 261K(1)]) [F33, 386(1) or 412B(5) or (9)] [F34or paragraph 5(7) of Schedule 6A].
Textual Amendments
F1Word in s. 392(a) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 31(2)(a) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F2Word in s. 392(a) inserted (8.6.2010) by Financial Services Act 2010 (c. 28), ss. 24(1), 26(2)(e), Sch. 2 para. 29(2)(a)
F3Words in s. 392 substituted (19.3.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 18(5)(a), 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.; S.I. 2013/651, art. 2(a)
F4Word in s. 392(a) inserted (8.6.2010) by Financial Services Act 2010 (c. 28), ss. 24(1), 26(2)(e), Sch. 2 para. 29(2)(b)
F5Word in s. 392(a) inserted (1.1.2019) by Financial Services (Banking Reform) Act 2013 (c. 33), ss. 4(4)(a), 148(5); S.I. 2018/1306, art. 2(d)
F6Words in s. 392(a) inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 2 para. 13(a) (with Sch. 2 Pt. 3); S.I. 2021/671, reg. 4(b)
F7Word in s. 392(a) inserted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 31(2)(b) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F8Words in s. 392(a) inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 2(8)(a) (with reg. 5)
F9Word in s. 392(a) inserted (6.6.2013) by The Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (S.I. 2013/1388), regs. 1, 3(19)(a)(i) (with reg. 24)
F10Words in s. 392(a) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 9 para. 6(a); S.I. 2022/163, reg. 2(a)
F11Word in s. 392(a) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), ss. 25(7)(a), 49(5); S.I. 2022/163, reg. 2(b)
F12Words in s. 392(a) inserted (29.6.2023 for specified purposes) by Financial Services and Markets Act 2023 (c. 29), s. 86(1)(e), Sch. 10 para. 14(2)
F13Words in s. 392(a) inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 37(a) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F14Words in s. 392(a) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 13 para. 8(2) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F15Words in s. 392(a) inserted (6.6.2013) by The Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (S.I. 2013/1388), regs. 1, 3(19)(a)(ii) (with reg. 24)
F16Words in s. 392(a) substituted (1.4.2007 for certain purposes and 1.11.2007 otherwise) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), regs. 1(2), 3(5), Sch. 5 para. 16(a)
F17Words in s. 392(a) inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 11 para. 5(a); S.I. 2021/739, reg. 3(p)
F18Word in s. 392(b) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 31(3)(a) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F19Word in s. 392(b) inserted (8.6.2010) by Financial Services Act 2010 (c. 28), ss. 24(1), 26(2)(e), Sch. 2 para. 29(3)(a)
F20Words in s. 392 substituted (19.3.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 18(5)(b), 122(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.; S.I. 2013/651, art. 2(a)
F21Word in s. 392(b) inserted (8.6.2010) by Financial Services Act 2010 (c. 28), ss. 24(1), 26(2)(e), Sch. 2 para. 29(3)(b)
F22Word in s. 392(b) inserted (1.1.2019) by Financial Services (Banking Reform) Act 2013 (c. 33), ss. 4(4)(b), 148(5); S.I. 2018/1306, art. 2(d)
F23Words in s. 392(b) inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 2 para. 13(b) (with Sch. 2 Pt. 3); S.I. 2021/671, reg. 4(b)
F24Word in s. 392(b) inserted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 9 para. 31(3)(b) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F25Words in s. 392(b) inserted (29.12.2020) by The Financial Holding Companies (Approval etc.) and Capital Requirements (Capital Buffers and Macro-prudential Measures) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1406), regs. 1(4), 2(8)(b) (with reg. 5)
F26Word in s. 392(b) inserted (6.6.2013) by The Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (S.I. 2013/1388), regs. 1, 3(19)(b)(i) (with reg. 24)
F27Words in s. 392(b) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 9 para. 6(b); S.I. 2022/163, reg. 2(a)
F28Word in s. 392(b) inserted (23.2.2022) by Financial Services Act 2021 (c. 22), ss. 25(7)(b), 49(5); S.I. 2022/163, reg. 2(b)
F29Words in s. 392(b) inserted (29.6.2023 for specified purposes) by Financial Services and Markets Act 2023 (c. 29), s. 86(1)(e), Sch. 10 para. 14(3)
F30Words in s. 392(b) inserted (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 8 para. 37(b) (with Sch. 20); S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3; S.I. 2013/423, art. 3, Sch.
F31Words in s. 392(b) substituted (1.4.2013) by Financial Services Act 2012 (c. 21), s. 122(3), Sch. 13 para. 8(3) (with Sch. 20); S.I. 2013/423, art. 3, Sch.
F32Words in s. 392(b) inserted (6.6.2013) by The Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (S.I. 2013/1388), regs. 1, 3(19)(b)(ii) (with reg. 24)
F33Words in s. 392(b) substituted (1.4.2007 for certain purposes and 1.11.2007 otherwise) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), regs. 1(2), 3(5), Sch. 5 para. 16(b)
F34Words in s. 392(b) inserted (1.7.2021) by Financial Services Act 2021 (c. 22), s. 49(5), Sch. 11 para. 5(b); S.I. 2021/739, reg. 3(p)
Modifications etc. (not altering text)
C1Ss. 392-394 applied (with modifications) by 2009 c. 1, s. 83ZV (as inserted (1.1.2015) by The Bank Recovery and Resolution Order 2014 (S.I. 2014/3329), arts. 1(2), 97)
C2Ss. 392-395 applied (with modifications) (26.6.2017) by The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (S.I. 2017/692), regs. 1(2), 82 (with regs. 8, 15)
C3S. 392 applied (with modifications) (31.5.2021) by The Civil Liability Act 2018 (Financial Conduct Authority) (Whiplash) Regulations 2021 (S.I. 2021/594), regs. 1, 2(8)(f)
C4Ss. 392-395 applied (8.6.2023 for specified purposes) by The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2023 (S.I. 2023/612), art. 1(2), Sch. para. 1(s) (with art. 11)
C5S. 392(a) excluded (1.12.2001) by S.I. 2001/3592, arts. 1(2), 46(2), 47(2), 48(2), 52(4), 55(2) (with art. 23(2))
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