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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Regulation 173 Appointment of inspector by the Bank

Revoked from 3 January 2018

(1) Without prejudice to its powers under these Regulations, the Bank may, subject to paragraph (2), appoint one or more inspectors to investigate and report on any or all of the following:

(a) the affairs and conduct of the business of an authorised investment firm or regulated market or other undertaking which is, or was at the relevant time, an associated or related undertaking of an authorised investment firm or the market operator of a regulated market, or any particular aspect of such business;

(b) compliance of the authorised investment firm or regulated market with all or any of the following:

(i) conditions or requirements or both imposed by the Bank under these Regulations;

(ii) rules or codes of conduct set out or approved by the Bank under these Regulations;

(iii) any condition or requirement of these Regulations;

(iv) rules or requirements set out or approved by the Bank, with respect to clients’ money and investment instruments;

(v) any other enactment;

(c) any oth

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