Section 404C EnforcementF1C1
The following provisions—
Part 14 (disciplinary measures), and
so much of this Act as relates to any provision of that Part,
(which F2, subject to section 415AA(1), apply only in relation to authorised persons) are also to apply in relation to relevant firms which are not (or are no longer) authorised persons.
Annotations
Textual amendments
- F1
Ss. 404-404G and preceding cross-heading substituted (12.10.2010) for s. 404 and preceding cross-heading by Financial Services Act 2010 (c. 28), ss. 14, 26(3); S.I. 2010/2480, art. 2
- F2
Words in s. 404C inserted (29.8.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 60(2), 86(2)(f) (with s. 60(4))
Modifications
- C1
S. 404C applied (31.5.2021) by The Civil Liability Act 2018 (Financial Conduct Authority) (Whiplash) Regulations 2021 (S.I. 2021/594), regs. 1, 2(10)(a)