Paragraph 10

England and Wales

Changes not yet applied. Later legislation changes this provision in ways not yet written into the text below:

Sch. para. 5(3)(a) words substituted by Legal Services Act 2007 Sch. 19 para. 11(2)
Sch. para. 7(e) words substituted by Legal Services Act 2007 Sch. 19 para. 11(3)(a)
Sch. para. 7(g) words substituted by Legal Services Act 2007 Sch. 19 para. 11(3)(b)
Sch. para. 7(g) words inserted by Legal Services Act 2007 Sch. 19 para. 11(3)(b)
Sch. para. 8(2)(a)(ii) words substituted by Legal Services Act 2007 Sch. 19 para. 11(4)
Sch. para. 9(2)(a)(ii) words substituted by Legal Services Act 2007 Sch. 19 para. 11(5)

(1)

Regulations shall provide for the Regulator to investigate complaints about the professional conduct of an authorised person.

(2)

Regulations under sub-paragraph (1) shall enable the Regulator to—

(a)

impose conditions on a person's authorisation;

(b)

suspend a person's authorisation;

(c)

cancel a person's authorisation.

F1(3)

Regulations under sub-paragraph (1) may enable the Regulator to require an authorised person to pay a penalty.

Annotations

F1: Sch. para. 10(3) inserted (21.3.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), ss. 139(4), 148(3); S.I. 2014/772, art. 2