[(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;
**Trials are provided to all LexisPSL and LexisLibrary content, excluding Practice Compliance, Practice Management and Risk and Compliance, subscription packages are tailored to your specific needs. To discuss trialling these LexisPSL services please email customer service via our online form. Free trials are only available to individuals based in the UK. We may terminate this trial at any time or decide not to give a trial, for any reason. Trial includes one question to LexisAsk during the length of the trial.
To view the latest version of this document and millions of others like it, sign-in to LexisLibrary or register for a free trial.
Existing user? Sign-in
Take a free trial
Take a free trial
0330 161 1234