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.