F1PART 1AThe Regulators

Annotations:
Amendments (Textual)
F1

Pt. 1A substituted for Pt. 1 (24.1.2013 for specified purposes, 19.2.2013 for specified purposes, 1.4.2013 in so far as not already in force) by Financial Services Act 2012 (c. 21), ss. 6(1), 122(3) (with Sch. 20); S.I. 2013/113, art. 2(1)(b)(c)(2), Sch. Pts. 2, 3, 4; S.I. 2013/423, art. 3, Sch.

CHAPTER 1The Financial Conduct Authority

Supervision, monitoring and enforcement

C11LSupervision, monitoring and enforcement

C21

The FCA must maintain arrangements for supervising authorised persons.

C3C42

The FCA must maintain arrangements designed to enable it to determine whether persons other than authorised persons are complying—

a

with requirements imposed on them by or under this Act, in cases where the FCA is the appropriate regulator for the purposes of Part 14 (disciplinary measures), F2...

F3aa

with requirements imposed on them by the Alternative Investment Fund Managers Regulations 2013, or

b

with requirements imposed on them by any qualifying EU provision that is specified, or of a description specified, for the purposes of this subsection by the Treasury by order.

C43

The FCA must also maintain arrangements for enforcing compliance by persons other than authorised persons with relevant requirements, within the meaning of Part 14, in cases where the FCA is the appropriate regulator for the purposes of any provision of that Part.