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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 1 November 2024 - onwards
  Version 3 of 3    

Regulation 19 Warning notice

Revoked from 1 November 2024

(1) If the appropriate regulator proposes to -

(a) impose a temporary prohibition under regulation 5 (temporary prohibition relating to management functions);

(b) publish a statement in respect of a person under regulation 7 (public censure);

(c) impose a penalty on a person under regulation 8 (financial penalties);

(d) refuse an application for authorisation to provide a third party verification service under regulation 13 (determination of application for authorisation to provide a third party verification service);

(e) cancel a person's authorisation to provide a third party verification service under regulation 16 (cancellation of authorisation to provide a third party verification service on the initiative of the FCA); or

(f) refuse an application to cancel a person's authorisation to provide a third party verification service under regulation 17 (cancellation of authorisation to provide a third party verification service at request of third party verifier);

it must give the

Comparing proposed amendment...