C1C2Part VI Official Listing
Pt. 6 modified (31.12.2020) by The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/707), regs. 1(2), 73 (as amended by S.I. 2019/1234, regs. 1(2), 23 and with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, regs. 1(3), 29(2)))); 2020 c. 1, Sch. 5 para. 1(1)
Miscellaneous
97 Appointment by F3FCA of persons to carry out investigations.
1
Subsection (2) applies if it appears to the F3FCA that there are circumstances suggesting that—
F1a
there may have been a contravention of—
i
a provision of this Part or of Part 6 rules, F11...
F14ii
any other provision of qualifying transparency legislation, or
F8iii
any provision of, or made in accordance with, the prospectus regulation;
b
a person who was at the material time a director of a person mentioned in section 91(1), F7... F6or (1A), or section 91(1B) (ignoring paragraph (a)(i) of that provision), has been knowingly concerned in a contravention by that person of—
i
a provision of this Part or of Part 6 rules, F12...
F15ii
any other provision of qualifying transparency legislation, or
F9iii
any provision of, or made in accordance with, the prospectus regulation;
F5ba
a person who was at the material time a relevant officer of a person mentioned in section 91(1B) (ignoring paragraphs (a)(ii) and (b) of that provision) has been knowingly concerned in a contravention F16by that person of qualifying transparency legislation;
F2c
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F10d
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
The F3FCA may appoint one or more competent persons to conduct an investigation on its behalf.
3
Part XI applies to an investigation under subsection (2) as if—
a
the investigator were appointed under section 167(1);
b
references to the investigating authority in relation to him were to the F3FCA;
c
references to the offences mentioned in section 168 were to F13the offences under section 85;
d
references to an authorised person were references to the person under investigation.
F44
In this section “relevant officer” has the meaning given by section 91(2B).
Pt. 6 (ss. 72-103) applied (with modifications) (1.12.2001) by S.I. 1995/1537, Sch. 4 (as amended (1.12.2001) by S.I. 2001/3649, arts. 1, 511)