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The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013
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The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013, Section 45 is up to date with all changes known to be in force on or before 04 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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Civil penalties – where determination made but appeal period has not endedU.K.
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45.—(1) Paragraphs (2) to (5) apply if, before 1st April 2014—
(a)the OFT had given A a penalty notice under section 39A of the 1974 Act, and
(b)the appeal period in relation to that notice had not expired.
(2) The notice is to be treated as a decision notice given by the FCA to A under section 208(1)(b) of the Act M1 (except for the purposes of [F1sections 210 (statement of policy), 392(b) (application of sections 393 and 394), in so far as it applies to section 393 (third party rights), and 393 of the Act, which do not apply]).
(3) But if A has, before 1st April 2014, submitted a notice of appeal to the First-tier Tribunal under section 41 of the 1974 Act (appeals to First-tier Tribunal under Part 3), section 208(4) of the Act (right to refer matters to the Tribunal) does not apply.
(4) The notice has effect subject to any necessary modifications.
(5) For the purposes of this article, each reference in Part 14 of the Act (disciplinary measures) and any provision made under Part 14 of the Act to an “authorised person” is to be treated as including a reference to A.
Textual Amendments
F1Words in art. 45(2) substituted (1.4.2014) by The Financial Services and Markets Act 2000 (Consumer Credit) (Transitional Provisions) Order 2014 (S.I. 2014/376), arts. 1, 9
Marginal Citations
M1Amended by the Financial Services Act 2010, Schedule 2, paragraphs 1 and 19, and the Financial Services Act 2012, Schedule 9, paragraphs 1 and 15.
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