PART 3Transitional provisions
CHAPTER 2Authorisation and regulation of 2006 Act authorised persons
Compliance with information requirement imposed by the Regulator50
1
This article applies where—
a
the Regulator—
i
gave notice in writing to a person under—
aa
regulation 33 of the 2006 Regulations (requirements for information under section 8(4) of the 2006 Act); or
bb
regulation 36 of the 2006 Regulations (breaches by authorised persons of condition: requirement to provide information etc); or
ii
made a request to a person under rule 16 of the Conduct of Authorised Persons Rules 201884; and
b
on 1st April 2019, the period specified in the notice or request within which the information or documents specified or described in the notice or request are to be given to the Regulator, including any extra time allowed under regulation 33(6) or 36(6) of the 2006 Regulations, has not expired.
2
The Regulator’s notice or request is to be treated as a notice in writing given by the FCA under section 165(1) of the 2000 Act85 (regulators’ power to require information: authorised persons etc).
3
For the purposes of this article, section 165 of the 2000 Act has effect in relation to the Regulator’s notice or request as if—
a
in subsection (2)(a), the reference to such reasonable period as may be specified is to be read as a reference to the period referred to in paragraph (1)(b) or such longer period as the FCA may allow; and
b
in subsection (2)(b), the reference to such place as may be specified is to be read as a reference to the place specified in the Regulator’s notice or request at which the information or documents specified or described in the notice or request are to be given to the Regulator.