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Version date: 30 January 2024 - onwards
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97. Appointment by FCA of persons to carry out investigations

(1) Subsection (2) applies if it appears to the FCA that there are circumstances suggesting that -

(a) there may have been a contravention of -

(i) a provision of this Part or of Part 6 rules, or

(ii) any other provision of qualifying prospectus legislation or qualifying transparency legislation;

(iii) [deleted]

(b) a person who was at the material time a director of a person mentioned in section 91(1), or section 91(1B) [Section 91(1B) was inserted by the Companies Act 2006, Schedule 15 paragraph 6, and amended by the Financial Services Act 2012, section 16.] (ignoring paragraph (a)(i) of that provision), has been knowingly concerned in a contravention by that person of -

(i) a provision of this Part or of Part 6 rules, or

(ii) any other provision of qualifying prospectus legislation or qualifying transparency legislation;

(iii) [deleted]

(ba) a person who was at the material time a relevant officer of a person mentioned in section 91(1B) (ignoring paragraphs (a)(ii) and (b) of that p

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