Section 44(3)

Subsection (5) of section 168 of FSMA 2000 applies if it appears to the FCA that there are circumstances suggesting that— a person may have contravened a requirement imposed by an applicable provision other than regulation 12, or a person who was at the material time a relevant officer of a person to whom an applicable provision has applied (“A”) has been knowingly concerned in a contravention by A of an applicable provision.

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