Section 49(1)

Self-regulatory organisations must make arrangements to ensure that— their supervisory functions are exercised independently of any of their other functions which do not relate to disciplinary matters; sensitive information relating to the supervisory functions is appropriately handled within the organisation; they employ only persons with appropriate qualifications, integrity and professional skills to carry out the supervisory functions; contravention of a relevant requirement by a relevant person they are responsible for supervising renders that person liable to effective, proportionate and dissuasive disciplinary measures under their rules; potential conflicts of interest within the organisation are appropriately handled.

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