C6 Part V Performance of Regulated Activities
F13Conduct of approved persons and others
Ss. 64A, 64B and cross-heading inserted (25.7.2014 for specified purposes, 7.3.2016 for specified purposes) by Financial Services (Banking Reform) Act 2013 (c. 33), ss. 30(3), 148(5); S.I. 2014/1819, art. 2(2)(c); S.I. 2015/490, art. 2(1)(d) (as inserted by S.I. 2015/2055, art. 2(4) and with savings and transitional provisions in S.I. 2015/492 (as amended by S.I. 2015/1660))
C1C2C3C4C7C8C10C9C11C1267 Disciplinary measures: procedure and right to refer to Tribunal.
1
2
A warning notice about a proposal to impose a penalty must state the amount of the penalty.
F22A
A warning notice about a proposal—
a
to suspend an approval, or
b
to impose a F17condition in relation to the performance of a function,
must state the period for which the suspension or F17condition is to have effect.
F142B
A warning notice about a proposal to limit the period for which an approval is to have effect must state the length of that period.
3
A warning notice about a proposal to publish a statement must set out the terms of the statement.
C54
5
A decision notice about the imposition of a penalty must state the amount of the penalty.
F45A
A decision notice about—
a
the suspension of an approval, or
b
the imposition of a F19condition in relation to the performance of a function,
must state the period for which the suspension or F19condition is to have effect.
F155B
A decision notice about limiting the period for which an approval is to have effect must state the length of that period.
6
A decision notice about the publication of a statement must set out the terms of the statement.
7
F68
Approval” means an approval given under section 59.
9
“Other interested parties”, in relation to F11a person (“A”) in relation to whom approval has been given, are—
a
the person on whose application the approval was given (“B”); and
b
the person by whom A's services are retained, if not B.
F12...
Pt. V (ss. 56-71) modified (1.12.2001) by S.I. 2001/3592, arts. 1(2), 114(3)(a), 128(3)(a) (with art. 23(2))