Section 415B(3)

In this section any reference to the taking of a qualifying step is a reference to— the giving of a warning notice or decision notice under section 63B (performance of controlled functions without approval), the giving of a warning notice or decision notice under section 67 (disciplinary powers in relation to approved person), . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . the giving of a warning notice under section 207 or a decision notice under section 208 (breaches of requirements imposed by or under Act etc.), the giving of a warning notice under section 312G or a decision notice under section 312H (recognised bodies), the making of an application to the court under section 380, 381, 382 or 383 (injunctions or restitution), or the giving of a warning notice under section 385 or a decision notice under section 386 (power of FCA or PRA to require restitution).

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