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Part V Performance of Regulated Activities (ss. 56-71I)

Comparing proposed amendment...
Prohibition orders (ss. 56-58)
Partly in force
56. Prohibition orders
Partly in force
57. Prohibition orders: procedure and right to refer to Tribunal
In force
58. Applications relating to prohibitions: procedure and right to refer to Tribunal
Approval (ss. 59-63ZE)
In force
59. Approval for particular arrangements
In force
59ZA. Senior management functions
In force
59ZB. Designated senior management functions
In force
59A. Specifying functions as controlled functions: supplementary
Partly in force
59AB. Specifying functions as controlled functions: transitional provision
In force
59B. Role of FCA in relation to PRA decisions
In force
60. Applications for approval
In force
60A. Vetting of candidates by authorised persons
In force
61. Determination of applications
In force
62. Applications for approval: procedure and right to refer to Tribunal
In force
62A. Changes in responsibilities of senior managers
In force
63. Withdrawal of approval
In force
63ZA. Variation of senior manager's approval at request of authorised person
In force
63ZB. Variation of senior manager's approval on initiative of regulator
In force
63ZC. Exercise of power under section 63ZB: procedure
In force
63ZD. Statement of policy relating to conditional approval and variation
In force
63ZE. Statement of policy: procedure
Performance of controlled functions without approval (ss. 63A-63D)
In force
63A. Power to impose penalties
In force
63B. Procedure and right to refer to Tribunal
In force
63C. Statement of policy
In force
63D. Statement of policy: procedure
Certification of employees (ss. 63E-63F)
In force
63E. Certification of employees by authorised persons
In force
63F. Issuing of certificates
Conduct of approved persons (ss. 64-65)
Omitted
64. Conduct: statements and codes
Omitted
65. Statements and codes: procedure
Conduct of approved persons and others (ss. 64A-70)
In force
64A. Rules of conduct
In force
64B. Rules of conduct: responsibilities of authorised persons
In force
64C. Requirement for authorised persons to notify regulator of disciplinary action
In force
66. Disciplinary powers
Partly in force
66A. Misconduct: action by the FCA
Partly in force
66B. Misconduct: action by the PRA
In force
67. Disciplinary measures: procedure and right to refer to Tribunal
In force
68. Publication
In force
69. Statement of policy
In force
70. Statements of policy: procedure
Breach of statutory duty (s. 71)
In force
71. Actions for damages
Relevant authorised person (s. 71A)
Omitted
71A. Meaning of "relevant authorised person"
Removal of directors and senior executives and appointment of temporary manager (ss. 71B-71I)
In force
71B. Removal of directors and senior executives
In force
71C. Temporary manager
In force
71D. Sections 71B and 71C: conditions
In force
71E. Temporary manager: further provisions in relation to the appointment
In force
71F. Temporary manager: instrument of appointment
In force
71G. Right to refer matters to the Tribunal
In force
71H. Removal of directors and senior executives and appointment of temporary manager: procedure
In force
71I. Sections 71B to 71H: interpretation
Application of this Part to Gibraltar-based persons (s. 71J)
Not yet in force
71J. Application of this Part to Gibraltar-based persons