Source: http://www.legislation.gov.uk/uksi/2013/1882/article/3/made
Timestamp: 2019-09-16 15:27:10
Document Index: 298112123

Matched Legal Cases: ['art 14', 'art 9', 'art 11', 'art 13', 'art 14', 'art 26', 'art 27']

(2) Section 1L (supervision, monitoring and enforcement)(1) applies as if—
(b)in subsection (2), the reference to requirements imposed by or under FSMA 2000 in a case where the FCA is the appropriate regulator for the purposes of Part 14 of FSMA 2000 (disciplinary measures)(2) included a reference to relevant requirements.
(3) Section 66 (disciplinary powers)(3) applies as if the reference in subsection (2)(b)(i) to a requirement imposed by or under FSMA 2000 included a reference to a relevant requirement, and sections 67 (disciplinary measures: procedure and right to refer to Tribunal)(4) and 68 (publication)(5) apply as if the references to section 66 were to that section as applied by this Order.
(4) Part 9 (hearings and appeals)(6) applies as if in section 133 (proceedings before Tribunal: general provision)(7)—
(a)the references to decisions under sections 66 (disciplinary powers), 205 (public censure)(8), 206 (financial penalties)(9) and 206A (suspending permission to carry on regulated activities etc.)(10) of FSMA 2000 were references to decisions under those sections as applied by this Order;
(5) Part 11 (information gathering and investigations)(11) (with the exception of section 169 (investigations etc. in support of overseas regulator)(12)) applies as if—
(6) Part 13 (incoming firms: intervention by FCA or PRA)(13) (with the exception of sections 195 (exercise of power in support of overseas regulator), 195A (contravention by relevant EEA firm or EEA UCITS of directive requirements), 198 (power to apply to court for injunction in respect of certain overseas insurance companies) and 199A (management companies: loss of authorisation)) applies as if—
(7) Part 14 (disciplinary measures) applies (with the exception of sections 210 (statements of policy)(14) and 211 (statements of policy: procedure)(15)) as if in section 204A (meaning of “relevant requirement” and “appropriate regulator”)(16)—
(8) Section 380 (injunctions)(17) applies as if the reference in subsection (6)(a)(i) to a requirement imposed by or under FSMA 2000 included a reference to a relevant requirement.
(9) Section 382 (restitution orders)(18) applies as if the reference in subsection (9)(a)(i) to a requirement imposed by or under FSMA 2000 included a reference to a relevant requirement.
(10) Section 384 (power of FCA or PRA to require restitution)(19) applies as if the reference in subsection (7)(a) to a relevant requirement imposed by or under FSMA 2000 included a reference to a relevant requirement; and accordingly sections 385 (warning notices)(20) and 386 (decision notices)(21) apply where there has been a contravention of a requirement under section 384 as applied by this Order.
(11) Part 26 (notices)(22) applies as if—
(a)in section 391 (publication)(23), the references in subsection (1ZB) to warning notices given under sections 67 (disciplinary measures: procedure and right to refer to Tribunal) and 207 (proposal to take disciplinary measures)(24) of FSMA 2000 were to warning notices given under those sections as applied by this Order;
(b)in section 392 (application of sections 393 and 394)(25), the references to a warning notice and a decision notice given under any of the provisions specified in that section included a warning notice and a decision notice given under any of those provisions as applied by this Order.
(12) Part 27 (offences)(26) applies as if—
(b)in section 401 (proceedings for offences)(27), in subsection (1), the definition of “offence” included an offence under the 1974 Act.