PART 3Transitional provisions

CHAPTER 3Appeals and references

Continuation of appeals commenced before 1st April 201965

1

This article applies where, on or before 1st April 2019—

a

a person has submitted notice of an appeal to the First-tier Tribunal under section 13 of the 2006 Act (appeals and references to Tribunal) against a decision of the Regulator (“the relevant decision”); and

b

the appeal has not been determined.

2

The appeal is to continue as if the FCA had made the relevant decision, and for that purpose the FCA is substituted for the Regulator as a party to the appeal.

Right to appeal after 1st April 2019 against a decision of the Regulator66

1

This article applies where—

a

before 1st April 2019, a person (“A”) had a right to appeal to the First-tier Tribunal under section 13 of the 2006 Act against a decision of the Regulator (“the relevant decision”);

b

A had not exercised that right on or before 1st April 2019; and

c

on 1st April 2019, the period within which, in the absence of this Order, the appeal could have been made has not ended.

2

A may appeal to the Tribunal in respect of the relevant decision before the end of the period within which, in the absence of this Order, an appeal to the First-tier Tribunal could have been made.

3

Section 133 of the 2000 Act101 (proceedings before Tribunal: general provision) applies in the case of an appeal to the Tribunal under paragraph (2).

4

For the purposes of that section, in relation to such an appeal, the relevant decision is to be treated as a decision of the FCA and a disciplinary reference.

Continuation of references made by the Regulator to the First-tier Tribunal67

1

This article applies to any reference of a complaint or question (“the relevant reference”) which—

a

was made by the Regulator to the First-tier Tribunal under section 13(2) of the 2006 Act; and

b

has not resulted, on or before 1st April 2019, in any decision or action taken by that tribunal under section 13(3) of that Act.

2

The FCA may continue to refer the complaint or question which is the substance of the relevant reference, and is for that purpose substituted for the Regulator as a party to the reference.