Securities Markets Order, 2013 · s 13

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s 13

( 1) If the Authority proposes to give a decision notice of objection to a person under section 12, it must give him a warning notice.

(2)

If the Authority decides to give a warning notice under subsection IlL it must do so before the end of the period of 3 months beginning 1244

(a)

in the case of a notice to be given under section 12(1L with the date on which it became aware of the failure to comply with the duty in question;

(b)

in the case of a notice to be given under section 12(3), with the date on which it became aware of the matters in question.

{3) The Authority may require the person concerned to provide such additional information or documents as it thinks reasonable.

(4)

The Authority may impose different requirements for different circumstances.