Part 2 Minor and Consequential Amendments
Financial Services Act 2021 (2021 c 22) | Legislation

Part 2 Minor and Consequential Amendments

2

The Financial Services and Markets Act 2000 is amended as follows.

3

In section 133(7A) (proceedings before the Tribunal: meaning of “disciplinary referenceâ€), after paragraph (ia) insert—

“(ib)     a decision to take action under section 143W;â€.

4

In section 137A (the FCA's general rules), at the end insert—

“(7)     Subsection (6) is subject to sections 143C(4) and 143D(6).â€

5

In section 165(7) (regulators' power to require information), after paragraph (d) insert—

“(da)     by the FCA, to impose requirements on a person who provides, or has provided, a service to an FCA investment firm or to a relevant parent undertaking of such a firm;â€.

6

(1)     Section 166 (regulators' power to require reports by skilled persons) is amended as follows.

(2)     In subsection (10), after “subsection (11)†insert “or (12)â€.

(3)     After subsection (11) insert—

“(12)     This subsection applies to a person who provides, or has provided, a service to an FCA investment firm or to a relevant parent undertaking of such a firm.â€

7

(1)     Section 167 (regulators' power to appoint investigators) is amended as follows.

(2)     In subsection (1)—

(a)     in paragraph (a),

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