Money Laundering, Terrorist Financing and Transfer of Funds... · CHAPTER 1 Decisions of the FCA

93 Appeals against decisions of the FCA

reg. 93 · in force: yes

Captured statutory text (L5)

93 Appeals against decisions of the FCA

(1)A person may appeal to the Upper Tribunal a decision by the FCA under—

(a)regulation 25(2), to issue a direction;

(b)regulation 59(1), to refuse to register an applicant;

(c)regulation 60, to suspend or cancel the registration of a registered person;

(ca)regulation 74C(1), to impose a direction;

(d)regulation 76, to impose a penalty or publish a censuring statement;

(e)regulation 77, to take a measure set out in paragraph (2)(a) or (b) of that regulation;

(f)regulation 78(2), to impose a prohibition.

(2)The provisions of Part 9 of FSMA (hearings and appeals), apply, subject to the modifications set out in paragraph (3), in respect of appeals to the Upper Tribunal made under this regulation as they apply in respect of references made to that Tribunal under that Act.

(3)Part 9 of FSMA has effect as if—

(a)in section 133 (proceedings before Tribunal: general provision), in subsection (7A) , after paragraph (o) there were inserted—

(p)a decision to take action under any of regulations 76 to 78 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.

; and

(b)for section 133A there were substituted— Proceedings before Tribunal: decision notices(133A)

(1)The action specified in a decision notice given under regulation 81(6) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 must not be taken—

(a)during the period within which the matter to which the notice relates may be referred to the Tribunal under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; and

(b)if the matter is so referred, until the reference, and any appeal against the Tribunal's determination, has been finally disposed of.

(2)The Tribunal may, on determining a reference under these Regulations in respect of a decision of the FCA, make recommendations as to its regulating provisions or its procedures.

Full captured verbatim text

(1) A person may appeal to the Upper Tribunal a decision by the FCA under—

(a) regulation 25(2), to issue a direction;

(b) regulation 59(1), to refuse to register an applicant;

(c) regulation 60, to suspend or cancel the registration of a registered person;

(ca) regulation 74C(1), to impose a direction;

(d) regulation 76, to impose a penalty or publish a censuring statement;

(e) regulation 77, to take a measure set out in paragraph (2)(a) or (b) of that regulation;

(f) regulation 78(2), to impose a prohibition.

(2) The provisions of Part 9 of FSMA (hearings and appeals), apply, subject to the modifications set out in paragraph (3), in respect of appeals to the Upper Tribunal made under this regulation as they apply in respect of references made to that Tribunal under that Act.

(3) Part 9 of FSMA has effect as if—

(a) in section 133 (proceedings before Tribunal: general provision), in subsection (7A) , after paragraph (o) there were inserted—

(p) a decision to take action under any of regulations 76 to 78 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.

; and

(b) for section 133A there were substituted—

Proceedings before Tribunal: decision notices(133A) (1) The action specified in a decision notice given under regulation 81(6) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 must not be taken—

(a) during the period within which the matter to which the notice relates may be referred to the Tribunal under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; and

(b) if the matter is so referred, until the reference, and any appeal against the Tribunal's determination, has been finally disposed of.

(2) The Tribunal may, on determining a reference under these Regulations in respect of a decision of the FCA, make recommendations as to its regulating provisions or its procedures.

.

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 1/3 · detailed summary (L4) Status: not needed for a short provision · Stored artifact; current recipe verification unavailable

Persons may appeal specified FCA supervisory, registration, and disciplinary decisions to the Upper Tribunal under modified FSMA Part 9 procedures.

Only the one-line summary above is stored for this provision; the text itself is the evidence.

Refers to

cross-reference internal_cite · reg. 25

cross-reference internal_cite · reg. 59

cross-reference internal_cite · reg. 60

cross-reference internal_cite · reg. 74C

cross-reference internal_cite · reg. 76

cross-reference internal_cite · reg. 77

cross-reference internal_cite · reg. 78

cross-reference internal_cite · reg. 81

Referred to by

cross-reference internal_cite · reg. 59

cross-reference internal_cite · reg. 60

cross-reference internal_cite · reg. 8

cross-reference internal_cite · reg. 81

cross-reference internal_cite · reg. 84

Part summaries

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Verification findings (348)

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synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-1

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-3

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-4

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-5

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-6

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-7

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-8

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-9

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-10

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-11

synthesis coverage: missing/unverified L2 schedule-7-part-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-12

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-13

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-14

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-15

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-16

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-17

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-18

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-19

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-20

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-21

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-22

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-23

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-24

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-25

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-26

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-27

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-28

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-29

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-30

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-31

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-32

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-33

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-34

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-35

Instrument tier unavailable

Change history as published

Reg. 22 omitted (31.12.2020) by virtue of The Money Laundering and Transfer of Funds (Information) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/253), regs. 1(2), 5(4) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

Pt. 5A omitted (1.9.2022) by virtue of The Money Laundering and Terrorist Financing (Amendment) (No. 2) Regulations 2022 (S.I. 2022/860), regs. 1(5), 10 · repeated 8×

Sch. 7 para. 27 revoked (24.2.2025) by The Procurement Act 2023 (Consequential and Other Amendments) Regulations 2025 (S.I. 2025/163), reg. 1(2), Sch. Pt. 2

Pending effects amendments not yet applied to this text

reg. 3(1) words inserted by The Money Laundering and Transfer of Funds (Information) (Amendment) (EU Exit) Regulations 2019 reg. 3(b) · Effective date unknown · reg. 3

reg. 34A inserted by The Money Laundering and Terrorist Financing (Amendment) Regulations 2026 reg. 20 · Effective date unknown

Sch. 6 para. 7(ga) inserted by The Money Laundering and Terrorist Financing (Amendment) Regulations 2026 reg. 36(b) · Effective date unknown · Sch. 6 para. 7

Provenance

Every claim the system makes about this text is traceable to these identifiers.

Instrument: uk:uksi/2017/692
Part: CHAPTER 1 Decisions of the FCA
Version: c5a0271554697d8359bede8a…
Content hash: sha256 d47f24bc3171fef42134005d…
Source: legislation.gov.uk/uksi/2017/692