Part XIV Disciplinary Measures (ss [204A-211)
Part XIV Disciplinary Measures (ss [204A-211)

[204A Meaning of “relevant requirement” and “appropriate regulator”]

[(1)     The following definitions apply for the purposes of this Part.

(2)     “Relevant requirement” means a requirement imposed—

(a)     by or under this Act, . . .

[(aa)     by regulations under section 11 of the Civil Liability Act 2018,]

(b)     by a qualifying EU provision specified, or of a description specified, for the purposes of this subsection by the Treasury by order[, . . .

(c)     by the Alternative Investment Fund Managers Regulations 2013][, or

(d)     by the Undertakings for Collective Investment in Transferable Securities Regulations 2011].

(3)     The PRA is “the appropriate regulator” in the case of a contravention of—

(a)     a requirement that is imposed under any provision of this Act by the PRA;

(b)     a requirement under section 56(6) where the authorised person concerned is a PRA-authorised person and the prohibition order concerned is made by the PRA;

(c)     . . .

[(d)     a requirement under section 62A(2) where [“the revised statement of responsibilities is to be provided to the PRA only;]

(e)     a requirement under section 64B(2) or (5) where the conduct rules concerned are made by the PRA;

(f)     a requirement under section 64C(1) to notify the PRA that disciplinary action has been taken].

[(3A)     Either the PRA or the FCA is “the appropriate regulator” in the case of a contravention of—

(a)     a requirement under section 59(1) or (2) where the authorised person concerned is a PRA-authorised person and the approval concerned falls to be given by the PRA;

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