Transitional Provisions and Schedules

Part

APER Statements of Principle and Code of Practice for Approved Persons

Chapter

Transitional Provisions and Schedules

Printed on: 14/10/2024

Rulebook at: 01/04/2009

Transitional Provisions and Schedules

APER TP 1

Transitional Provisions

APER TP 1.1

There are no transitional provisions in APER. However, GEN contains some technical transitional provisions that apply throughout the Handbook and which are designed to ensure a smooth transition at commencement.

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APER Sch 1

Record keeping requirements

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APER Sch 1.1

There are no record keeping requirements in APER.

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APER Sch 2

Notification requirements

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APER Sch 2.1

The aim of the guidance in the following table is to give the reader a quick overall view of the relevant requirements for notification and reporting.

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APER Sch 2.2

It is not a complete statement of those requirements and should not be relied on as if it were.

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APER Sch 2.3

Handbook reference

Matter to be notified

Contents of notification

Trigger event

Time allowed

Statement of Principle 4 (APER 2.1.2 P)

Any information of which the FSA would reasonably expect notice

Appropriate disclosure

Any information of which the FSA would reasonably expect notice

Appropriate

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APER Sch 3

Fees and required payments

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APER Sch 3.1

There are no requirements for fees or other payments in APER.

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APER Sch 4

Powers exercised

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APER Sch 4.1

The following powers in the Act have been exercised by the FSA to issue the Statements of Principle and Code of Practice for Approved Persons:

Section 64(1) and (2) (Conduct: statements and codes).

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APER Sch 4.2

The following power in the Act has been exercised by the FSA to give the guidance in APER:

Section 157(1) (Guidance).

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APER Sch 5

Rights of action for damages

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APER Sch 5.1

There are no rules in APER.

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APER Sch 6

Rules that can be waived

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APER Sch 6.1

There are no rules in APER.

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