[97A Reporting of infringements]
Financial Services and Markets Act 2000 (2000 c 8) | Legislation

[97A  Reporting of infringements]

[(1)     This section applies to a person—

(a)     who is the employer of any employees, and

(b)     who—

(i)     provides regulated financial services,

(ii)     carries on regulated activities in reliance on the exemption in section 327, or

(iii)     is a recognised investment exchange, a recognised clearing house, a recognised CSD. . . or a third country central counterparty.

(2)     The person must have in place appropriate internal procedures for the person's employees to report, through an independent channel, contraventions and potential contraventions of—

(a)     the prospectus regulation,. . .

[(b)     any EU regulation, originally made under the prospectus regulation, which is retained EU law,

 

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