Date-stamp loading
Version status: In force | Document consolidation status: No known changes
Version date: 10 January 2019 - onwards
  Version 2 of 2    

Regulation 4 Appeals against decisions of the Financial Conduct Authority and the Commissioners of Her Majesty's Revenue and Customs

(1) In regulation 93 (appeals against decisions of the FCA) for paragraph (1) substitute -

“(1) A person may appeal to the Upper Tribunal a decision by the FCA under -

(a) regulation 25(2), to issue a direction;

(b) regulation 59(1), to refuse to register an applicant;

(c) regulation 60, to suspend or cancel the registration of a registered person;

(d) regulation 76, to impose a penalty or publish a censuring statement;

(e) regulation 77, to take a measure set out in paragraph (2)(a) or (b) of that regulation;

(f) regulation 78(2), to impose a prohibition.”.

(2) In regulation 99 (appeals against decisions of the Commissioners) for paragraph (1) substitute -

“(1) A person may appeal to the tribunal in accordance with regulation 100 if the person is the subject of a decision by the Commissioners under -

(a) regulation 25(2), to issue a direction;

(b) regulation 58, to the effect that a person is not a fit and proper person (unless the decision is required by virtue of paragraph (3)

Comparing proposed amendment...