Regulation 13 Warning noticeI1

United Kingdom

(1)

Where the FCA proposes to—

(a)

publish a statement in respect of a proxy advisor under regulation 11, or

(b)

impose a penalty on a proxy advisor under regulation 12,

it must give the proxy advisor a warning notice.

(2)

A warning notice about a proposal to publish a statement must set out the terms of the statement.

(3)

A warning notice about a proposal to impose a penalty must state the amount of the penalty.

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