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The Financial Services Act 2012 (Transitional Provisions) (Miscellaneous Provisions) Order 2013

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  1. Introductory Text

  2. PART 1 Introductory

    1. 1.Citation, commencement and interpretation

  3. PART 2 The FCA and the PRA

    1. 2.The governing body of the Authority

    2. 3.The annual report of the FCA

    3. 4.The annual report of the PRA

    4. 5.The Practitioner Panel

    5. 6.The Consumer Panel

    6. 7.Definition of “consumers”

  4. PART 3 Control of business transfers

    1. 8.Scheme reports

    2. 9.Sanction of the court for business transfer schemes: certificates

    3. 10.Order sanctioning business transfer scheme

    4. 11.Appointment of actuary in relation to reduction of benefits

  5. PART 4 Hearings and appeals

    1. 12.Proceedings before the Tribunal: appeals and references made before 1st April

    2. 13.Proceedings before the Tribunal: appeals and references made on or after 1st April

    3. 14.Decisions referred to the Tribunal

  6. PART 5 Information gathering and investigation

    1. 15.Power to require information

    2. 16.Power to require information: financial stability

    3. 17.Safeguards etc in relation to exercise of power under section 165A

    4. 18.Reports by skilled persons

    5. 19.Appointment of persons to carry out investigations

    6. 20.Support for overseas regulators

    7. 21.Entry of premises under warrant

    8. 22.Legal professional privilege

  7. PART 6 Control over authorised persons

    1. 23.Application of articles 24 to 27

    2. 24.Obligation to notify: acquisition of control

    3. 25.Assessment

    4. 26.Approval

    5. 27.Requests for further information

    6. 28.Restriction notices

    7. 29.Obligations to notify disposition of control

    8. 30.Offences

  8. PART 7 The Financial Services Compensation Scheme

    1. 31.The Financial Services Compensation Scheme

  9. PART 8 Recognised investment exchanges and clearing houses

    1. 32.Exemption for recognised investment exchanges

    2. 33.Application by a clearing house

    3. 34.Recognition orders for recognised clearing houses

    4. 35.Notification requirements

    5. 36.Power to give directions

    6. 37.Revoking recognition

    7. 38.Directions and revocation: procedure

    8. 39.Complaints about recognised bodies

    9. 40.Power to disallow excessive regulatory provision

    10. 41.Duty to notify proposal to make regulatory provision

    11. 42.Consideration whether to allow proposed provision

    12. 43.Supervision of certain contracts

  10. PART 9 Lloyd’s

    1. 44.Former underwriting members

  11. PART 10 Insolvency

    1. 45.Powers of FCA and PRA to participate in proceedings: trust deeds for creditors in Scotland

    2. 46.Administrator’s duty to report to FCA and PRA

    3. 47.Powers of FCA and PRA to participate in proceedings: administration

    4. 48.Administrator appointed by company or directors

    5. 49.Powers of FCA and PRA to participate in proceedings (receivership)

    6. 50.Receiver’s duty to report to FCA and PRA

    7. 51.Powers of FCA and PRA to participate in proceedings (voluntary winding up)

    8. 52.Insurers effecting or carrying out long-term contracts of insurance

    9. 53.Insurers: service of petition etc

    10. 54.Reclaim funds: service of petition etc

    11. 55.Liquidator’s duty to report to FCA and PRA

    12. 56.Powers of FCA and PRA to participate in proceedings: liquidation

    13. 57.Insolvency practitioner’s duty to report to FCA and PRA

    14. 58.Powers of FCA and PRA to participate in proceedings: insolvency

    15. 59.Right of PRA to apply for an order

    16. 60.Continuation of contracts of long-term insurance where insurer in liquidation

  12. PART 11 Investigation of complaints

    1. 61.Complaints made before the commencement date

    2. 62.The investigator

    3. 63.Complaints made on or after the commencement date about a function of the Authority

  13. PART 12 Companies Act 1989

    1. 64.Request for assistance by overseas regulatory authority

    2. 65.Change in default rules

    3. 66.Duty to report on completion of default proceedings

    4. 67.Powers to give directions

    5. 68.Application to determine whether default proceedings to be taken

  14. PART 13 Transitory provisions

    1. 69.Solvency II

    2. 70.Rules made by the Bank of England before the commencement date

  15. Signature

  16. Explanatory Note

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