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The Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013

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PART 1SDecisions referred to at Articles 3(b) and 5(c)

1.  [F1Any decision by the FCA, the PRA or the Bank of England]—

(a)to refuse an application for [F2Part 4A permission] under the 2000 Act;

(b)to vary or to cancel such permission (or to refuse to vary or cancel such permission) or to impose a requirement under [F3section 55L, 55M or 55O] of that Act;

(c)to make, or to refuse to vary or revoke, an order under section 56 (prohibition orders) of that Act;

(d)to refuse an application for F4... approval under section 59 of that Act or to withdraw such approval;

(e)to refuse to make, or to revoke, an order declaring a unit trust scheme to be an authorised unit trust scheme under section 243(1) of the 2000 Act or to refuse to give its approval under section 251(2) of the 2000 Act to a proposal to replace the manager or trustee of such a scheme;

(f)to give a direction under section 257(3) (authorised unit trust schemes) of the 2000 Act, or to vary (or to refuse to vary or revoke) such a direction;

(g)to refuse to make, or to revoke, an authorisation order under regulation 14 of the Open-Ended Investment Companies Regulations 2001(4) or to refuse to give its approval under regulation 21(5) of those Regulations to a proposal to replace a director or to appoint an additional director of an open-ended investment company;

(h)to give a direction to an open-ended investment company under regulation 25 of those Regulations or to vary (or refuse to vary or revoke) such a direction;

(i)to refuse to give its approval to a collective investment scheme being recognised under section 270 of the 2000 Act or to direct that such a scheme cease to be recognised by virtue of that section or to refuse to make, or to revoke an order declaring a collective investment scheme to be a recognised scheme under section 272 of that Act;

(j)to refuse to make, or to revoke, a recognition order under section 290(6) of the 2000 Act, otherwise than by virtue of section 292(2) of that Act, [F5to refuse to vary a recognition order under section 290ZA(1) of the 2000 Act, to vary a recognition order under section 290ZA(2) of the 2000 Act,] or to give a direction to a UK recognised investment exchange or [F6recognised clearing house] under section 296(7) [F7or 296A] of the 2000 Act;

(k)to make, or to refuse to vary or to revoke, an order under section 329 of the 2000 Act (orders in respect of members of a designated professional body in relation to the general prohibition);

(l)to dismiss, exclude or fail to promote a person from being a key worker of [F8the FCA or the PRA];

(m)to refuse an application for registration as an authorised electronic money institution or a small electronic money institution under the Electronic Money Regulations 2011;

(n)to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of the Electronic Money Regulations 2011;

(o)to refuse an application for registration as an authorised payment institution or a small payment institution under the Payment Services Regulations 2009; F9...

(p)to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of the Payment Services Regulations 2009,

[F10(q)in a case requiring any decision referred to in paragraphs (a) to (p), where the FCA, the PRA or the Bank of England has the function of deciding whether to give consent or conditional consent in relation to the decision which is proposed in that case, to give or refuse to give consent or to give conditional consent, or

(r)in a case requiring any decision referred to in paragraphs (a) to (p), where the FCA, the PRA or the Bank of England has the power under the 2000 Act to direct another regulator as to the decision to be taken in that case, to decide whether to give a direction and, if a direction is to be given, what direction to give,]

by reason of, or partly by reason of, a spent conviction of an individual, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.

Textual Amendments

Commencement Information

I1Sch. 2 para. 1 in force at 14.2.2013, see art. 1(1)

2.  Any decision by the scheme operator within the meaning of section 225 of the 2000 Act of the Financial Ombudsman Service to dismiss, or not to appoint an individual as, an ombudsman (within the meaning of Schedule 17 to the 2000 Act) of the Financial Ombudsman Service by reason of, or partly by reason of, his spent conviction, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.S

Commencement Information

I2Sch. 2 para. 2 in force at 14.2.2013, see art. 1(1)

3.  [F11Any decision of the FCA]—

(a)to refuse an application for listing under Part VI of the 2000 Act or to discontinue or suspend the listing of any securities under section 77 of that Act(8);

(b)to refuse to grant a person’s application for approval as a sponsor under section 88(9) of the 2000 Act or to cancel such approval; F12...

(c)to dismiss, exclude or fail to promote a person from being a key worker of [F13the FCA in relation to the exercise of its functions under Part 6 of the 2000 Act, or]

[F14(d)to refuse to grant a person’s application under information provider rules (within the meaning of section 89P(9) of the 2000 Act) for approval as a Primary information provider, to impose limitations or other restrictions on the giving of information to which such an approval relates or to cancel such an approval,]

by reason of, or partly by reason of, a spent conviction of an individual, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.

Textual Amendments

Commencement Information

I3Sch. 2 para. 3 in force at 14.2.2013, see art. 1(1)

4.  Any decision of anyone who is specified in any of paragraphs 2 to 7 of the second column of the table in Part 2 of this Schedule, other than [F15the FCA or the PRA], to dismiss an individual who has, or to exclude or fail to promote an individual who is seeking to obtain, the status specified in the corresponding entry in the first column of that table (but not, where applicable, the status of being an associate of another person), by reason of, or partly by reason of, a spent conviction of that individual or of that individual’s associate, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.S

Textual Amendments

Commencement Information

I4Sch. 2 para. 4 in force at 14.2.2013, see art. 1(1)

5.  Any decision of anyone who is specified in paragraphs 8(1) or 16(1) of the second column of the table in Part 2 of this Schedule to dismiss an individual who has, or to exclude or fail to promote an individual who is seeking to obtain, the status specified in the corresponding entry in sub-paragraph (2) of the first column of that table (associate), by reason of, or partly by reason of, a spent conviction of that individual, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.S

Commencement Information

I5Sch. 2 para. 5 in force at 14.2.2013, see art. 1(1)

6.  Any decision of the Council of Lloyd’s—S

(a)to refuse to admit any person as, or to exclude, an underwriting agent (within the meaning of section 2 of the Lloyd’s Act 1982(10)), where that person has, or has applied for, [F16Part 4A permission];

(b)to dismiss any person who is, or to exclude or fail to promote an individual who is seeking to become, an associate of a person who has [F16Part 4A permission] and who is admitted to Lloyd’s as an underwriting agent (within the meaning of section 2 of the Lloyd’s Act 1982); or

(c)to dismiss, or to exclude a person from being, an associate of the Council of Lloyd’s,

by reason of, or partly by reason of, a spent conviction of an individual, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.

Textual Amendments

Commencement Information

I6Sch. 2 para. 6 in force at 14.2.2013, see art. 1(1)

7.  Any decision of a UK recognised investment exchange or [F17recognised clearing house] to refuse to admit any person as, or to exclude, a member by reason of, or partly by reason of, a spent conviction of an individual, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.S

Textual Amendments

Commencement Information

I7Sch. 2 para. 7 in force at 14.2.2013, see art. 1(1)

(1)

Section 243 was amended by the Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I.2011/1613), regulation 2(15).

(2)

Section 251 was amended by the Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I.2011/1613), regulation 2(17).

(3)

Section 257 was amended by the Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I.2011/1613), regulation 2(20).

(4)

S.I. 2001/1228. Regulation 14 was amended by the Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I. 2011/1613), regulation 3(2).

(5)

Regulation 21 was amended by the Undertakings for Collective Investment in Transferable Securities Regulations 2011 (S.I. 2011/1613), regulation 3(3); and by the Open-Ended Investment Companies (Amendment) Regulations 2011 (S.I.2011/3049 ), regulation 3(4).

(6)

Section 290 was amended by the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), Schedule 2, paragraph 4.

(7)

Section 296 was amended by the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007 (S.I. 2007/126), Schedule 2, paragraph 7.

(8)

Section 77 was amended by the Regulatory Reform (Financial Services and Markets Act 2000) Order 2007 (S.I.2007/1973), article 5.

(9)

Section 88 was amended by the Regulatory Reform (Financial Services and Markets Act 2000) Order 2007 (S.I.2007/1973), article 9.

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