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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 1 July 2021 - onwards
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143T. Procedure for making a Part 9C prohibition order

(1) If the FCA proposes to make a Part 9C prohibition order it must give the individual to whom the order would apply a warning notice.

(2) The warning notice must set out the terms of the prohibition.

(3) If the FCA decides to make a Part 9C prohibition order it must give the individual to whom the order applies a decision notice.

(4) The decision notice must -

(a) name the individual to whom the Part 9C prohibition order applies, and

(b) set out the terms of the order.

(5) If the FCA decides to make a Part 9C prohibition order, the individual to whom the order applies may refer the matter to the Tribunal.

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