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SCHEDULE 2FINANCIAL SERVICES

Part 1Decisions referred to at Articles 3(b) and 5(c)

3.  Any decision of the competent authority for listing–

(a)to refuse an application for listing under Part VI of the 2000 Act or to discontinue or suspend the listing of any securities under section 77 of that Act;

(b)to refuse to grant a person’s application for approval as a sponsor under section 88 of the 2000 Act or to cancel such approval; or

(c)to dismiss, fail to promote or exclude a person from being a key worker of the competent authority for listing,

by reason of, or partly by reason of, a spent conviction of an individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.