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Financial Services and Markets Act 2000
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Rhagor o Adnoddau
Changes over time for: Section 55R
Version Superseded: 29/06/2017
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Status:
Point in time view as at 26/03/2015. This version of this provision has been superseded.
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Financial Services and Markets Act 2000, Section 55R is up to date with all changes known to be in force on or before 22 November 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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[F155RPersons connected with an applicantU.K.
This
adran has no associated
Nodiadau Esboniadol
(1)In considering—
(a)an application for a Part 4A permission,
(b)whether to vary or cancel a Part 4A permission,
(c)whether to impose or vary a requirement under this Part, or
(d)whether to give any consent required by any provision of this Part,
the regulator concerned may have regard to any person appearing to it to be, or likely to be, in a relationship with the applicant or a person given permission which is relevant.
(2)Before—
(a)giving permission in response to an application under section 55A made by a person who is connected with an EEA firm (other than an EEA firm falling within paragraph 5(e) of Schedule 3 (insurance and reinsurance intermediaries)), or
(b)cancelling or varying a Part 4A permission given to such a person,
the regulator concerned must in prescribed circumstances consult the firm's home state regulator.
(3)A person (“A”) is connected with an EEA firm if—
(a)A is a subsidiary undertaking of the firm, or
(b)A is a subsidiary undertaking of a parent undertaking of the firm.
[F2(4)Subsection (5) applies where—
(a)a credit institution (“B”) makes an application for permission under section 55A; and
(b)B is controlled by a person who also controls a credit institution, insurance undertaking or investment firm authorised in another EEA State.
(5)Before granting B’s application for permission, the regulator concerned must consult the competent authorities of the other EEA State.
(6)In subsections (4) and (5), “credit institution”, “insurance undertaking” and “investment firm” have the meaning given in Article 4(1) of the capital requirements regulation.]]
Textual Amendments
F1Pt. 4A substituted for ss. 40-55 (24.1.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 11(2), 122(3) (with Sch. 20); S.I. 2013/113, art. 2(1)(b)(c), Sch. Pts. 2, 3; S.I. 2013/423, art. 3, Sch.
F2S. 55R(4)-(6) inserted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 6
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