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.