SCHEDULE 2FINANCIAL SERVICES

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

3

Any decision of the competent authority for listing—

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 Act67;

b

to refuse to grant a person’s application for approval as a sponsor under section 8868 of the 2000 Act or to cancel such approval; or

c

to dismiss, fail to promote or exclude a person from being a key worker of the competent authority for listing,

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.