SCHEDULEApplication and modification of primary legislation

Application without modification of provisions of the Act

1.

The following provisions of the Act apply in relation to registered persons—

(a)

section 55N (requirements under section 55L or 55M)7;

(b)

sections 55T (persons whose interests are protected) to 55V (determination of applications)8;

(c)

section 55X (determination of applications: warning notices and decision notices)9;

(d)

section 55Z4 (interpretation of Part 4A)10;

(e)

section 138C (evidential provisions)11;

(f)

sections 138E (limits on effect of contravening rules) to 138H (verification of rules)12;

(g)

section 139B (notification of FCA guidance to the Treasury)13;

(h)

section 168 (appointment of persons to carry out investigations in particular cases)14;

(i)

section 169 (investigations etc. in support of overseas regulator)15;

(j)

sections 170 (investigations: general) to 175 (information and documents: supplemental provisions)16;

(k)

section 176A (retention of documents taken under section 176)17;

(l)

section 177 (offences)18;

(m)

section 204A (meaning of “relevant requirement” and “appropriate regulator”)19;

(n)

section 210 (statements of policy)20;

(o)

section 211 (statements of policy: procedure)21;

(p)

section 380 (injunctions)22;

(q)

section 382 (restitution orders)23;

(r)

section 385 (warning notices) to 391 (publication)24;

(s)

sections 392 (application of sections 393 and 394) to 395 (the FCA’s and PRA’s procedures)25;

(t)

Schedule 15 (information and investigations: connected persons)26.