Contents
- 1 Citation and commencement
- 2 Interpretation
- 3 Designation of competent authority
- 4 Prohibitions and suspensions
- 5 Revocation or variation of order under regulation 4
- 6 Administrative penalties and statements
- 7 Requirement to notify retail investor
- 8 Right to refer a matter to the Tribunal
- 9 Sanctions under regulation 4: procedure
- 10 Sanctions under regulation 6: procedure
- 11 Application of the Financial Services and Markets Act 2000 and secondary legislation
- 12 Minor and consequential amendments
- 13 Review
- Schedule 1 Application and modification of the Financial Services and Markets Act 2000 and secondary legislation
- Schedule 2 Minor and consequential amendments to primary and secondary legislation
1Citation and commencement#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
3Designation of competent authority#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
4Prohibitions and suspensions#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
5Revocation or variation of order under regulation 4#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
6Administrative penalties and statements#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
7Requirement to notify retail investor#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
8Right to refer a matter to the Tribunal#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
9Sanctions under regulation 4: procedure#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
10Sanctions under regulation 6: procedure#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
11Application of the Financial Services and Markets Act 2000 and secondary legislation#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
12Minor and consequential amendments#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
Schedule 1 · Application and modification of the Financial Services and Markets Act 2000 and secondary legislation
(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(12). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
Schedule 2 · Minor and consequential amendments to primary and secondary legislation
(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (repealed)
Contains public sector information licensed under the Open Government Licence v3.0.