SCHEDULEApplication and modification of primary legislation

Application without modification of provisions of the Act1

The following provisions of the Act apply in relation to registered persons—

a

section 55N (requirements under section 55L or 55M)7;

b

sections 55T (persons whose interests are protected) to 55V (determination of applications)8;

c

section 55X (determination of applications: warning notices and decision notices)9;

d

section 55Z4 (interpretation of Part 4A)10;

e

section 138C (evidential provisions)11;

f

sections 138E (limits on effect of contravening rules) to 138H (verification of rules)12;

g

section 139B (notification of FCA guidance to the Treasury)13;

h

section 168 (appointment of persons to carry out investigations in particular cases)14;

i

section 169 (investigations etc. in support of overseas regulator)15;

j

sections 170 (investigations: general) to 175 (information and documents: supplemental provisions)16;

k

section 176A (retention of documents taken under section 176)17;

l

section 177 (offences)18;

m

section 204A (meaning of “relevant requirement” and “appropriate regulator”)19;

n

section 210 (statements of policy)20;

o

section 211 (statements of policy: procedure)21;

p

section 380 (injunctions)22;

q

section 382 (restitution orders)23;

r

section 385 (warning notices) to 391 (publication)24;

s

sections 392 (application of sections 393 and 394) to 395 (the FCA’s and PRA’s procedures)25;

t

Schedule 15 (information and investigations: connected persons)26.