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Contents

Part I · Preliminary

Section 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.

Report

Part II

Part III

Market Operators and Market Infrastructure

Part IV

Self-Regulating Organisations

Part X

Part X.

Part VI

Public Company Statements and Reporting Requirements

Part VII

Capital Markets Services Licence and Representative'S Licence

Part VIII

Books, Audit and Client'S Assets

Part IX

Part X

Intervention Powers of Authority

Part XI

Complaints Committee and Investor Compensation Scheme

Part XII

Financial Markets Services Panel

Part XIII

General