# The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, Article 4

Extent: E+W+S

(1) Subject to paragraph (2), neither paragraph (b) of section 4(3) of, nor paragraph 3(5) of Schedule 2 to, the Act shall apply in relation to—
(a) the dismissal or exclusion of any person from any profession specified in Part I of Schedule 1 to this Order;
(b) any office, employment or occupation specified in Part II of that Schedule apart from one specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 or in Part III of that Schedule apart from one specified in paragraph 1 or 8 or any other work specified in paragraph 12A, 13, 13A, 14, 14A, 14AA, 14B, 14C, 14D, 14E, 14F, 20, 21, ... ... 40, 43 or 44 of Part II of the said Schedule 1;
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d) any decision by the FCA, the PRA or the Bank of England—
(i) to refuse an application for Part 4A permission under the 2000 Act,
(ii) to vary or to cancel such permission (or to refuse to vary or cancel such permission) or to impose a requirement under section 55L, 55M or 55O of that Act or,
(iii) to make, or to refuse to vary or revoke, an order under section 56 of that Act (prohibition orders),
(iv) to refuse an application for ... approval under section 59 of that Act or to withdraw such approval,
(v) to refuse to make, or to revoke, an order declaring a unit trust scheme to be an authorised unit trust scheme under section 243 of the 2000 Act or to refuse to give its approval under section 251 of the 2000 Act to a proposal to replace the manager or trustee of such a scheme,
(vi) to give a direction under section 257 of the 2000 Act (authorised unit trust schemes), or to vary (or to refuse to vary or revoke) such a direction,
(via) to refuse to make, or to revoke, an order declaring a contractual scheme to be an authorised contractual scheme under section 261D of the 2000 Act or to refuse to give its approval under section 261Q of the 2000 Act to a proposal to replace the operator or depositary of such a scheme,
(vib) to give a direction under section 261X of the 2000 Act or to vary (or to refuse to vary or revoke) such a direction,
(vii) to refuse to make, or to revoke, an authorisation order under regulation 14 of the Open-Ended Investment Companies Regulations 2001 or to refuse to give its approval under regulation 21 of those Regulations to a proposal to replace a director or to appoint an additional director of an open-ended investment company,
(viii) to give a direction to an open-ended investment company under regulation 25 of those Regulations or to vary (or refuse to vary or revoke) such a direction,
(ix) ...to refuse to make, or to revoke, an order declaring a collective investment scheme to be a recognised scheme under section 271A or section 272 of the 2000 Act,
(x) to refuse to make, or to revoke, a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) of that Act, to refuse to vary a recognition order under section 290ZA(1) of the 2000 Act, to vary a recognition order under section 290ZA(2) of the 2000 Act, to refuse to grant an authorisation of the sort referred to in section 290ZB(1)(a) of the 2000 Act, to withdraw an authorisation of the sort referred to in section 290ZB(1)(c) of the 2000 Act, or to give a direction to a UK recognised investment exchange , recognised clearing house or recognised CSD under section 296 or 296A of the 2000 Act,
(xi) to make, or to refuse to vary or to revoke, an order under section 329 (orders in respect of members of a designated professional body in relation to the general prohibition), ...
(xii) to dismiss, fail to promote or exclude a person from being a key worker of the FCA or the PRA,
(xiii) to refuse an application for registration as an authorised electronic money institution or a small electronic money institution under the Electronic Money Regulations 2011, ...
(xiv) to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of those Regulations,
(xv) to refuse an application for registration as an authorised payment institution , a registered account information service provider or a small payment institution under the Payment Services Regulations 2017, ...
(xvi) to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of those Regulations,
(xvii) in a case requiring any decision referred to in paragraphs (i) to (xvi), where the FCA, the PRA or the Bank of England has the function of deciding whether to give consent or conditional consent in relation to the decision which is proposed in that case, to give or refuse to give consent or to give conditional consent, or
(xviii) in a case requiring any decision referred to in paragraphs (i) to (xvi), where the FCA, the PRA or the Bank of England has the power under the 2000 Act to direct another regulator as to the decision to be taken in that case, to decide whether to give a direction and, if a direction is to be given, what direction to give,
by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(e) any decision by the scheme operator (within the meaning of section 225 of the 2000 Act) of the Financial Ombudsman Service to dismiss, or not to appoint, an individual as, an ombudsman (within the meaning of Schedule 17 to the 2000 Act) of the Financial Ombudsman Service by reason of, or partly by reason of, his spent conviction ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(f) any decision of the FCA—
(i) to refuse an application for listing under Part VI of the 2000 Act or to discontinue or suspend the listing of any securities under section 77 of that Act,
(ii) to refuse to grant a person’s application for approval as a sponsor under section 88 of the 2000 Act or to cancel such approval, ...
(iii) to dismiss, fail to promote or exclude a person from being a key worker of the FCA in relation to the exercise of its functions under Part 6 of the 2000 Act, or
(iv) to refuse to grant a person’s application under information provider rules (within the meaning of section 89P(9) of the 2000 Act) for approval as a Primary information provider, to impose limitations or other restrictions on the giving of information to which such an approval relates or to cancel such an approval,
by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(g) any decision of anyone who is specified in any of sub-paragraphs 2 to 4 or 5 to 7 of the second column of the table in article 3(g), other than the FCA or the PRA, to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in the first column of that table (but not, where applicable, the status of being an associate of another person), by reason of, or partly by reason of, a spent conviction of that individual or of his associate ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(h) any decision of anyone who is specified in sub-paragraph 8(a), 14(a) or 16(a) of the second column of the table in article 3(g) to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in sub-paragraph (b) of the first column of that table (associate), by reason of, or partly by reason of, a spent conviction of that individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(i) any decision of the Council of Lloyd’s -
(i) to refuse to admit any person as, or to exclude, an underwriting agent (within the meaning of section 2 of Lloyd’s Act 1982), where that person has, or who has applied for, Part 4A permission, or
(ii) to dismiss, or to exclude a person from being, an associate of the Council of Lloyd's,
by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(j) any decision of a UK recognised investment exchange , recognised clearing house or recognised CSD to refuse to admit any person as, or to exclude, a member by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;
(ja) any decision by the relevant registration authority, as defined by section 5 of the Care Standards Act 2000, to refuse to grant an application for registration under Part 2 of that Act or to suspend or remove or refuse to restore a person’s registration under that Part of that Act;
(jb) any decision by the Welsh Ministers—
(i) to refuse an application for registration under section 7 of the 2016 Act,
(ii) to refuse (under section 12 of the 2016 Act) an application made by a person under section 11(1)(a)(i) or (ii) of the 2016 Act to vary their registration,
(iii) to cancel a person’s registration under section 15(1)(b) to (f) or 23(1) of the 2016 Act,
(iv) to vary a person’s registration under section 13(3)(b) or (4)(b) or 23(1) of the 2016 Act;
(k) any decision by Social Care Wales to refuse to grant an application for registration under Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016 or to suspend, remove or refuse to restore a person’s registration under that Part;
(ka) any decision of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills to refuse to grant a person’s application for registration as a childminder agency or to suspend, cancel or impose a condition on a person’s registration as a childminder agency under Part 3 of the Childcare Act 2006;
(l) any decision to refuse to grant a taxi driver licence, to grant such a licence subject to conditions or to suspend, revoke or refuse to renew such a licence;
(m) any decision by the Security Industry Authority to refuse to grant a licence under section 8 of the Private Security Industry Act 2001, to grant such a licence subject to conditions, to modify such a licence (including any of the conditions of that licence) or to revoke such a licence;
(n) any decision by the Football Association , Football League or Football Association Premier League to refuse to approve a person as able to undertake, in the course of acting as a steward at a sports ground at which football matches are played or as a supervisor or manager of such a person, licensable conduct within the meaning of the Private Security Industry Act 2001 without a licence issued under that Act, in accordance with ... section 4 of that Act.
(2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.

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Source: https://www.legislation.gov.uk/uksi/1975/1023/article/4 (the official version)
Page: https://openlegislation.uk/rehabilitation-of-offenders-act-1974-exceptions-order-1975/article-4
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.