Part XIVU.K. Disciplinary Measures

Modifications etc. (not altering text)

C1Pt. 14 applied (1.12.2001) by 1951 c. 65, s. 57(5) (as substituted (1.12.2001) by S.I. 2001/3647, art. 5, Sch. 3 Pt. I para. 5(3))

C2Pt. 14 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882), arts. 1(1), 3(7)

C3Pt. 14 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013 (S.I. 2013/1881), arts. 1(2)(6), 12(10)

C4Pt. 14 modified (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 82(13)

C5Pt. 14 applied (with modifications) (1.1.2019) by The Securitisation Regulations 2018 (S.I. 2018/1288), reg. 1, Sch. 1 para. 4 (with Sch. 1 paras. 13, 14)

[F1208AApplications under section 206B(4): procedure and right to refer to TribunalU.K.

(1)This section applies to an application under subsection (4) of section 206B for the variation or withdrawal of a prohibition or restriction imposed under that section.

(2)If the FCA decides to grant the application, it must give the applicant written notice of its decision.

(3)If the FCA proposes to refuse the application, it must give the applicant a warning notice.

(4)If the FCA decides to refuse the application, it must give the applicant a decision notice.

(5)If the FCA gives the applicant a decision notice, the applicant may refer the matter to the Tribunal.]

Textual Amendments

Modifications etc. (not altering text)

C7S. 208A applied (with modifications) (14.1.2025 for specified purposes) by The Short Selling Regulations 2025 (S.I. 2025/29), regs. 2(2)(3), 24, Sch. 1 Pt. 1