[404F Other definitions etc]
[404F Other definitions etc]

[(1)     For the purposes of sections 404 to 404B—

“redress” includes—

(a)     interest; and

(b)     a remedy or relief which could not be awarded in legal proceedings;

“specified” means specified in rules made under section 404.

(2)     In determining for the purposes of those sections whether an authorised person has failed to comply with a requirement, anything which an appointed representative has done or omitted as respects business for which the authorised person has accepted responsibility is to be treated as having been done or omitted by the authorised person.

(3)     References in those sections to the failure by a relevant firm to comply with a requirement applicable to the carrying on by it of any activity include anything done, or omitted to be done, by it in carrying on the activity—

(a)     which is in breach of a duty or other obligation, prohibition or restriction; or