Schedule 1, Part 3, paragraph 10

If the appropriate regulator considers that— the appropriate regulator may publish a statement to that effect. a person (“P”) has contravened a requirement imposed by or under these Regulations or by Article 28 of the markets in financial instruments regulation, a member of the management body of P is responsible for the contravention by P of a requirement imposed by or under these Regulations or by Article 28 of that regulation, or another member of the senior management of P is responsible for the contravention by P of a requirement imposed by or under these Regulations or by Article 28 of that regulation,

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