Transitional Provisions and Schedules

Part

AUTH Authorisation (to see AUTH derivations and destinations tables, go to Useful links)

Chapter

Transitional Provisions and Schedules

Printed on: 01/11/2024

Rulebook at: 01/02/2006

Transitional Provisions and Schedules

AUTH TP 1

Transitional Provisions

AUTH TP 1.1

There are no transitional provisions in AUTH.
GEN contains transitional provisions that apply throughout the Handbook.

01/12/2004

AUTH Sch 1

Record Keeping Requirements

01/12/2004

AUTH Sch 1.1

There are no record keeping requirements in AUTH.

03/09/2001

AUTH Sch 2

Notification Requirements

01/12/2004

AUTH Sch 2.1

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 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

01/02/2006

AUTH Sch 3

Fees and other required payments

01/12/2004

AUTH Sch 3.1

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 FEES 3.2.7 Rpara (c)

FEES 3.2

01/01/2006

AUTH Sch 4

Powers exercised

01/12/2004

AUTH Sch 4.1

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).

01/02/2006

AUTH Sch 5

Rights of action for damages

01/12/2004

AUTH Sch 5.1

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.

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.

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

Right of Action under section 150

Chapter/Appendix

Section/Annex

Paragraph

For private person?

Removed?

For other person?

All rules in AUTH 4

Yes

03/09/2001

AUTH Sch 6

Rules that can be waived

01/12/2004

AUTH Sch 6.1

There are no rules in AUTH that cannot be waived

01/01/2006