Schedule 10, Part 1, Chapter 2A, paragraph 309Z4

If the appropriate regulator proposes to take action against a person under section 309Z2, it must— give the person a warning notice, and in the case of proposed action under section 309Z2(2)(c), (d) or (e), give each of the other interested parties a warning notice. A warning notice under this section about a proposal to publish a statement of a person’s misconduct must set out the terms of the statement. A warning notice under this section about a proposal to impose a penalty must state the amount of the penalty. A warning notice under this section about— must state the period for which the suspension or condition is to have effect. a proposal to suspend an approval given under section 309G, or a proposal to impose a condition in relation to such an approval, A warning notice under this section about a proposal to limit the period for which an approval under section 309G is to have effect must state the length of that period. If the appropriate regulator decides to take action against a person under section 309Z2, it must— give the person a decision notice, and in the case of proposed action under section 309Z2(2)(c), (d) or (e), give each of the other interested parties a copy of the decision notice. A decision notice under this section about the publication of a statement of a person’s misconduct must set out the terms of the statement. A decision notice under this section about the imposition of a penalty must state the amount of the penalty. A decision notice under this section about— must state the period for which the suspension or condition is to have effect. the suspension of an approval given under section 309G, or the imposition of a condition in relation to such an approval, A decision notice under this section about limiting the period for which an approval under section 309G is to have effect must state the length of that period. If the appropriate regulator decides to take action against a person under section 309Z2— the person may refer the matter to the Tribunal, and in the case of proposed action under section 309Z2(2)(c), (d) or (e), each of the other interested parties may also refer the matter to the Tribunal. After a statement of a person’s misconduct is published under section 309Z2, the appropriate regulator must send a copy of it to— the person concerned, and any person to whom a copy of the decision notice was given. In this section— “Part 18 approved person”, in relation to a relevant recognised body, has the meaning given by section 309Z3(5); “the other interested parties”, in relation to a Part 18 approved person in relation to a relevant recognised body, are— the relevant recognised body, and the person by whom the Part 18 approved person’s services are retained, if different from the relevant recognised body.

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