Amendment of Part 9: enforcement and Part 10: appeals
9.—(1) In regulation 81 (the FCA: disciplinary measures (procedure)), after paragraph (1) insert—
“(1A) Before imposing a sanction on P under regulation 76, 77 or 78, the FCA must check whether P has any criminal convictions that may be relevant to the determination referred to in paragraph (1).”.
(2) In regulation 83 (the Commissioners: disciplinary measures (procedure)), after paragraph (1) insert—
“(1A) Before imposing a sanction on P under regulation 76, 77 or 78, the Commissioners must check whether P has any criminal convictions that may be relevant to the determination referred to in paragraph (1).”.
(3) In regulation 93 (appeals against decisions of the FCA)(1), after paragraph (1)(c) insert—
“(ca)regulation 74C(1), to impose a direction;”.
Regulation 93(1) was substituted by S.I. 2018/1337.