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Part XIVU.K. Disciplinary Measures

Modifications etc. (not altering text)

C1Pt. XIV (ss. 205-211) applied (1.12.2001) by 1951 c. 65, s. 57(5) (as substituted (1.12.2001) by S.I. 2001/3647, art. 5, Sch. 3 Pt. I para. 5(3))

207 Proposal to take disciplinary measures.U.K.

(1)If the Authority proposes—

(a)to publish a statement in respect of an authorised person (under section 205), or

(b)to impose a penalty on an authorised person (under section 206),

it must give the authorised person a warning notice.

(2)A warning notice about a proposal to publish a statement must set out the terms of the statement.

(3)A warning notice about a proposal to impose a penalty, must state the amount of the penalty.

Modifications etc. (not altering text)

C2S. 207 excluded (1.12.2001) by S.I. 2001/3592, arts. 1(2), 61(5), 110(6) (with art. 23(2))

C3S. 207 modified (18.7.2002 for certain purposes and 21.8.2002 otherwise) by The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (S.I. 2002/1775), regs. 1, 12(1)