C1C2Part VI Official Listing

Annotations:
Modifications etc. (not altering text)
C1

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)

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).