The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018

CHAPTER 3 Appeals and references

Continuation of appeals commenced before 1st April 2019

65.—(1) This article applies where, on or before 1st April 2019—

(a) a person has submitted notice of an appeal to the First-tier Tribunal under section 13 of the 2006 Act (appeals and references to Tribunal) against a decision of the Regulator (“the relevant decision”); and

(b) the appeal has not been determined.

(2) The appeal is to continue as if the FCA had made the relevant decision, and for that purpose the FCA is substituted for the Regulator as a party to the appeal.

Right to appeal after 1st April 2019 against a decision of the Regulator

66.—(1) This article applies where—

(a) before 1st April 2019, a person (“A”) had a right to appeal to the First-tier Tribunal under section 13 of the 2006 Act against a decision of the Regulator (“the relevant decision”);

(b) A had not exercised that right on or before 1st April 2019; and

(c) on 1st April 2019, the period within which, in the absence of this Order, the appeal could have been made has not ended.

(2) A may appeal to the Tribunal in respect of the relevant decision before the end of the period within which, in the absence of this Order, an appeal to the First-tier Tribunal could have been made.

(3) Section 133 of the 2000 Act(1) (proceedings before Tribunal: general provision) applies in the case of an appeal to the Tribunal under paragraph (2).

(4) For the purposes of that section, in relation to such an appeal, the relevant decision is to be treated as a decision of the FCA and a disciplinary reference.

Continuation of references made by the Regulator to the First-tier Tribunal

67.—(1) This article applies to any reference of a complaint or question (“the relevant reference”) which—

(a) was made by the Regulator to the First-tier Tribunal under section 13(2) of the 2006 Act; and

(b) has not resulted, on or before 1st April 2019, in any decision or action taken by that tribunal under section 13(3) of that Act.

(2) The FCA may continue to refer the complaint or question which is the substance of the relevant reference, and is for that purpose substituted for the Regulator as a party to the reference.

(1)

Section 133 was substituted by S.I. 2010/22 and amended by the Financial Services Act 2012 (c. 21), section 23, the Financial Services (Banking Reform) Act 2013 (c. 33), section 4(2), the Crime and Courts Act 2013 (c. 22), section 17(5) and S.I. 2013/1388, 2014/3329, 2016/680 and 2017/1064.