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

[(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, an EEA central counterparty 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, or

(b)     any directly applicable EU regulation made under the prospectus regulation.

(3)     In this section—

“employer” and “employee” have the same meaning given in section 230(1) to (5) of the Employment Rights Act 1996;

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