Transitional Provisions and Schedules
AUTH TP 1
- 01/12/2004
AUTH Sch 1
Record Keeping Requirements
- 01/12/2004
AUTH Sch 1.1
See Notes
| There are no record keeping requirements in AUTH. |
- 03/09/2001
AUTH Sch 2
Notification Requirements
- 01/12/2004
AUTH Sch 2.1
See Notes
| Handbook reference | Matter to be notified | Contents of notification | Trigger event | Time allowed |
| AUTH 3.9.3 D | Application for Part IV permission | Matters relevant to the application as indicated in the application pack | Application or significant changes to information given in the application | immediately applicant becomes aware |
| AUTH 5.3.9 D | Intention of incoming Treaty firm to carry on a regulated activity in the United Kingdom. | Matters relevant to the notice as indicated in the application pack. | Intention to carry on a regulated activity. | At least seven days in advance. |
| AUTH 6.3.1 D AUTH 6.3.4 D | Application for approval of person under section 59 of the Act | Matters relevant to the application as indicated in Form A and significant changes to information given in that Form |
- 01/12/2001
AUTH Sch 3
Fees and other required payments
- 01/12/2004
AUTH Sch 3.1
See Notes
| Type of Fee | Trigger Event | Date/Time of Payment | Amount/Rate | Handbook reference |
| Certification Fee | Application for a certificate under article 54 of the Regulated Activities Order. | On or before the date on which application is made. | See AUTH 4 Annex 1, Part 6 | AUTH 4.3 |
- 21/02/2002
AUTH Sch 4
Powers exercised
- 01/12/2004
AUTH Sch 4.1
See Notes
| The following powers and related provisions in the Act have been exercised by the FSA to make the rules in AUTH: | |
| Section 156 (General supplementary powers) | |
| Paragraph 17(1) of Schedule 1 (Fees). | |
| The following power in the Act has been exercised by the FSA to give the guidance in AUTH: | |
| Section 157(1) (Guidance). | |
| The following powers in the Act have been exercised by the FSA in AUTH to direct and require: | |
| Section 51 (Application under this Part). | |
| Section 60 (Application for approval). | |
| Paragraph 5(4) of Schedule 4 (Treaty Rights: Notice to Authority). | |
- 01/12/2001
AUTH Sch 5
Rights of action for damages
- 01/12/2004
AUTH Sch 5.1
See Notes
| 1 | The table below sets out the rules in AUTH contravention of which by an authorised person may be actionable under section 150 of the Act (Actions for damages) by a person who suffers loss as a result of the contravention. |
| 2 | If a "Yes" appears in the column headed "For private person?", the rule may be actionable by a "private person" under section 150 (or, in certain circumstances, his fiduciary or representative; see article 6(2) and (3)(c) of the Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001 (SI 2001/2256)). A "Yes" in the column headed "Removed" indicates that the FSA has removed the right of action under section 150(2) of the Act. If so, a reference to the rule in which it is removed is also given. |
| 3 | The column headed "For other person?" indicates whether the rule may be actionable by a person other than a private person (or his fiduciary or representative) under article 6(2) and (3) of those Regulations. If so, an indication of the type of person by whom the rule may be actionable is given. |
- 03/09/2001
AUTH Sch 5.2
See Notes
- 03/09/2001
AUTH Sch 6
Rules that can be waived
- 01/12/2004