Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2006-10-02

DEC App 1.13 1Position of third parties on settlement

DEC App 1.13.1G
  1. (1)

    DEC 2.4.7 G to DEC 2.4.12 G set out the FSA's approach to giving third parties copies of statutory notices pursuant to section 393 of the Act.

  2. (2)

    The decision to give a warning notice or a decision notice to a third party is a statutory notice associated decision.

  3. (3)

    In cases therefore where the decision to give a warning notice or decision notice is taken by settlement decision makers, those decision makers will decide whether a copy of the notice should be given to a third party in accordance with section 393 of the Act. Any representations made by the third party in response to a warning notice will be considered by the settlement decision makers.