Source: http://www.legislation.gov.uk/ukpga/2012/21/schedule/9/data.xht?view=snippet&wrap=true
Timestamp: 2018-12-19 08:44:39
Document Index: 538438153

Matched Legal Cases: ['art. 3', 'ART 2', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'ART 3', 'art 8', 'art 7', 'art. 3', 'ART 4', 'art. 2', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'ART 5', 'art. 2', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'ART 7', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art 7', 'art. 3', 'ART 8', 'art. 3']

SCHEDULE 9E+W+S+N.I.Discipline and enforcement
I1Sch. 9 para. 1 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
PART 2 E+W+S+N.I.Authorised persons acting without permission
2(1)Section 20 (authorised persons acting without permission) is amended as follows.E+W+S+N.I.
(a)in the opening words, after “an authorised person” insert “ other than a PRA-authorised person ”,
(c)in the words after paragraph (b), for “Authority” substitute “ FCA ”.
(5)In subsection (3), for “the contravention”, in the first place, substitute “ a contravention within subsection (1) or (1A) ”.
I2Sch. 9 para. 2 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
3(1)Section 23 (contravention of the general prohibition) is amended as follows.E+W+S+N.I.
(4)In the heading to the section, at the end insert “ or section 20(1) or (1A) ”.
I3Sch. 9 para. 3 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I4Sch. 9 para. 4 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I5Sch. 9 para. 5 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I6Sch. 9 para. 6 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
(a)at the end of subsection (1) insert “ , other than an agreement entered into in the course of carrying on a credit-related regulated activity ”, and
(b)in the heading to the section, at the end insert “ : general cases ”.
I7Sch. 9 para. 7 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I8Sch. 9 para. 8 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
PART 3 E+W+S+N.I.Market abuse
9(1)In the provisions of Part 8 (market abuse) mentioned in sub-paragraph (2), for “Authority” or “Authority's”, in each place, substitute “ FCA ” or “FCA's”.E+W+S+N.I.
(4)In section 130 (guidance), in subsection (1)(b), for “section 397 of this Act” substitute “ Part 7 of the Financial Services Act 2012 ”.
I9Sch. 9 para. 9 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
PART 4 E+W+S+N.I.Disciplinary measures
I10Sch. 9 para. 10 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I11Sch. 9 para. 10 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
(b)for the words from “a requirement” to “may” substitute “ a relevant requirement imposed on the person, it may ”.
I12Sch. 9 para. 11 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
12(1)Section 206 (financial penalties) is amended as follows.E+W+S+N.I.
(a)for “Authority” substitute “ appropriate regulator ”, and
(b)for the words from “a requirement” to “auctioning regulation” substitute “ a relevant requirement imposed on the person, ”.
(3)In subsection (3), for “Authority” substitute “ regulator that imposed the penalty ”.
I13Sch. 9 para. 12 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
13(1)Section 206A (suspending permission to carry on regulated activities etc.) is amended as follows.E+W+S+N.I.
(2)In subsection (1), for “Authority” substitute “ appropriate regulator ”.
(a)in the definition of “permission”, for “the Authority” substitute “ the FCA or the PRA ”, and
(5)In subsection (6), for “Authority” substitute “ appropriate regulator ”.
I14Sch. 9 para. 13 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
14In section 207(1) (proposal to take disciplinary measures), for “the Authority” substitute “ a regulator ”.
I15Sch. 9 para. 14 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
15In section 208(1) and (4) (decision notice), for “the Authority”, in each place, substitute “ a regulator ”.
I16Sch. 9 para. 15 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
16In section 209 (publication), for “the Authority” substitute “ the regulator concerned ”.
I17Sch. 9 para. 16 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I18Sch. 9 para. 17 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I19Sch. 9 para. 17 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
18(1)Section 211 (statements of policy: procedure) is amended as follows.E+W+S+N.I.
(3)In subsections (2) to (4) and (5) (in both places), for “Authority” substitute “ regulator ”.
(4)In subsection (6), for “The Authority” substitute “ A regulator ”.
I20Sch. 9 para. 18 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I21Sch. 9 para. 18 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
PART 5 E+W+S+N.I.Injunctions and restitution
19(1)Section 380 (injunctions) is amended as follows.E+W+S+N.I.
(2)In subsections (1) to (3), for “Authority” substitute “ appropriate regulator ”.
(a)in the opening words, for “Authority” substitute “ appropriate regulator ”,
(c)in sub-paragraph (ii), for the words from “which the Authority” to the end substitute “ mentioned in section 402(1) ”.
I22Sch. 9 para. 19 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I23Sch. 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 ”.
I24Sch. 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.
(3)In subsections (2) and (3), for “Authority” substitute “ regulator concerned ”.
(4)In subsection (7), for “Authority” substitute “ appropriate regulator ”.
I25Sch. 9 para. 21 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I26Sch. 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 ”.
I27Sch. 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.
(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 ”.
(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 ”.
(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) ”.
(9)In the heading, for “Authority” substitute “ FCA or PRA ”.
(10)In the italic heading before section 384, for “Authority” substitute “ FCA or PRA ”.
I28Sch. 9 para. 23 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(b), Sch. Pt. 2
I29Sch. 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 ”.
I30Sch. 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 ”.
I31Sch. 9 para. 25 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I32Sch. 9 para. 26 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I33Sch. 9 para. 27 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I34Sch. 9 para. 28 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I35Sch. 9 para. 29 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I36Sch. 9 para. 30 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I37Sch. 9 para. 31 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I38Sch. 9 para. 32 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I39Sch. 9 para. 33 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I40Sch. 9 para. 34 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I41Sch. 9 para. 34 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
I42Sch. 9 para. 35 in force at 24.1.2013 for specified purposes by S.I. 2013/113, art. 2(1)(c), Sch. Pt. 3
I43Sch. 9 para. 35 in force at 1.4.2013 in so far as not already in force by S.I. 2013/423, art. 3, Sch.
PART 7 E+W+S+N.I.Offences
36(1)Section 398 (misleading the Authority: residual cases) is amended as follows.E+W+S+N.I.
(3)In the heading, for “the Authority” substitute “ FCA or PRA ”.
I44Sch. 9 para. 36 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I45Sch. 9 para. 37 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
38(1)Section 401 (proceedings for offences) is amended as follows.E+W+S+N.I.
(3)In subsections (2)(a) and (3)(a), for “Authority” substitute “ appropriate regulator ”.
(5)In subsection (5), for “Authority” substitute “ appropriate regulator ”.
I46Sch. 9 para. 38 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
I47Sch. 9 para. 39 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
40In section 403 (jurisdiction and procedure in respect of offences), in subsection (7), at the end insert “ or an offence under Part 7 of the Financial Services Act 2012 (offences relating to financial services) ”.
I48Sch. 9 para. 40 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.
PART 8 E+W+S+N.I.Co-operation
“ConsultationE+W+S+N.I.
I49Sch. 9 para. 41 in force at 1.4.2013 by S.I. 2013/423, art. 3, Sch.