Section 39A(6)

An authorised person to whom this section applies who— is to be taken for the purposes of this Act to have contravened a requirement imposed on him by or under this Act. enters into or continues to perform a relevant contract with an agent which does not comply with the applicable requirements, enters into or continues to perform a relevant contract without accepting or having accepted responsibility in writing for the agent's activities in carrying on investment services business, enters into a relevant contract with an agent who is not entered on— the record maintained by the FCA by virtue of section 347(1)(ha), or . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . continues to perform a relevant contract with an agent when he knows or ought to know that the agent is not entered on that record ... ,

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Source: legislation.gov.uk · retrieved 2026-09-04