Source: http://www.legislation.gov.uk/ukpga/2012/21/schedule/9/part/5
Timestamp: 2017-07-25 04:54:07
Document Index: 210524454

Matched Legal Cases: ['ART 5', 'art. 2', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 3', 'art. 3']

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Table of ContentsContentExplanatory NotesMore ResourcesPrevious: PartNext: PartPlain ViewPrint OptionsWhat VersionLatest available (Revised)Original (As enacted)Advanced FeaturesShow Geographical Extent(e.g. England, Wales, Scotland, Northern Ireland)Show Timeline of ChangesOpening OptionsOpen whole ActOpen Act without schedulesOpen Schedules onlyMore ResourcesOriginal Print PDFCorrection Slip - 07/06/2013View moreChanges to legislation:There are outstanding changes not yet made by the legislation.gov.uk editorial team to Financial Services Act 2012. Any changes that have already been made by the team appear in the content and are referenced with annotations.Changes to LegislationRevised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.Changes and effects yet to be applied to the whole Act associated Parts and Chapters:Changes and effectsThis section lists the changes and effects yet to be applied to the whole Act, associated Parts and Chapters where applicable. This includes any insertions of whole new Parts, Chapters or provisions yet to be inserted into this Act. These effects are included in this view as they may be (but won’t necessarily be) relevant to the specific provision that you are viewing.Act power to apply conferred (temp.) by 2014 c. 21 s. 79(4)Act power to apply conferred (temp.) by 2014 c. 21 s. 81(10)Whole provisions yet to be inserted into this Act (including any effects on those provisions):s. 68(3)(b)(ii) word omitted by 2017 c. 30 Sch. 9 para. 32(2) PART 5 E+W+S+N.I.Injunctions and restitution19(1)Section 380 (injunctions) is amended as follows.E+W+S+N.I.(2)In subsections (1) to (3), for “Authority” substitute “ appropriate regulator ”.(3)In subsection (6)(a)—(a)in the opening words, for “Authority” substitute “ appropriate regulator ”,(b)for sub-paragraph (i) (but not the “or” following it) substitute—“(i)which is imposed by or under this Act or by a qualifying EU provision specified, or of a description specified, for the purposes of this subsection by the Treasury by order”, and
(c)in sub-paragraph (ii), for the words from “which the Authority” to the end substitute “ mentioned in section 402(1) ”.(4)In subsection (7), omit paragraph (a) (and the “and” at the end of it).(5)After subsection (7) insert—“(8)The PRA is the “appropriate regulator” in the case of a contravention of—
Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI1Sch. 9 para. 19 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2I2Sch. 9 para. 19 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.20(1)Section 381 (injunctions in case of market abuse) is amended as follows.E+W+S+N.I.(2)In subsections (1) to (3), for “Authority” substitute “ FCA ”.(3)In subsection (4), after “The court” insert “ may ”.Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI3Sch. 9 para. 20 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.21(1)Section 382 (restitution orders) is amended as follows.E+W+S+N.I.(2)In subsection (1), for “Authority” substitute “ appropriate regulator ”.(3)In subsections (2) and (3), for “Authority” substitute “ regulator concerned ”.(4)In subsection (7), for “Authority” substitute “ appropriate regulator ”.(5)In subsection (9)(a)—(a)in the opening words, for “Authority” substitute “ appropriate regulator ”,(b)for sub-paragraph (i) (but not the “or” following it) substitute—“(i)which is imposed by or under this Act or by a qualifying EU provision specified, or of a description specified, for the purposes of this subsection by the Treasury by order”, and
(c)in sub-paragraph (ii), for the words from “which the Authority” to the end substitute “ mentioned in section 402(1) ”.(6)In subsection (10), omit paragraph (a) (and the “and” at the end of it).(7)After subsection (10) insert—“(11)The PRA is the “appropriate regulator” in the case of a contravention of—
Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI4Sch. 9 para. 21 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2I5Sch. 9 para. 21 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.22In section 383(1), (4), (5) and (9) (restitution orders in case of market abuse), for “ Authority” substitute “ FCA ”.E+W+S+N.I.Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI6Sch. 9 para. 22 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.23(1)Section 384 (power of Authority to require restitution) is amended as follows.E+W+S+N.I.(2)In subsection (1)—(a)for “The Authority” substitute “ The appropriate regulator ”, and(b)after “authorised person” insert “ or recognised investment exchange ”.(3)In subsections (2) and (4), for “Authority” substitute “ FCA ”.(4)In subsection (5)—(a)for “Authority”, in the first place, substitute “ regulator exercising the power (“the regulator concerned”) ”, and(b)for “Authority”, in each of the other places, substitute “ regulator concerned ”.(5)In subsection (6), for “Authority” substitute “ regulator concerned ”.(6)In subsection (7)—(a)in paragraph (a), for the words from “any directly applicable” to “auctioning regulation” substitute “ a qualifying EU provision specified, or of a description specified, for the purposes of this subsection by the Treasury by order ”, and(b)in paragraph (b), for the words from “in relation to which” to the end substitute “ mentioned in section 402(1) ”.(7)Omit subsection (8).(8)After subsection (8) insert—“(9)The PRA is the “appropriate regulator” in the case of a contravention of—
(9)In the heading, for “Authority” substitute “ FCA or PRA ”.(10)In the italic heading before section 384, for “Authority” substitute “ FCA or PRA ”.Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI7Sch. 9 para. 23 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2I8Sch. 9 para. 23 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.24(1)Section 385 (warning notices) is amended as follows.E+W+S+N.I.(2)In subsection (1), for “the Authority” substitute “ a regulator ”.(3)In subsection (2), for “the Authority” substitute “ the regulator ”.Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.Commencement InformationI9Sch. 9 para. 24 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.25In section 386(1) and (3) (decision notices), for “Authority” substitute “ regulator ”.E+W+S+N.I.Annotations:Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. 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