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Financial Services and Markets Act 2000

Financial Services and Markets Act 2000 s 137O

s 137O Threshold condition code

(1) Either regulator may make rules supplementing any of the conditions for the time being set out in or specified under Schedule 6 that is expressed to be relevant to the discharge of that regulator's functions. (2) Rules made under this section by a regulator are referred to as that regulator's “threshold condition code”. (3) A threshold condition code may in particular— (a) specify requirements which a person must satisfy in order to be regarded as satisfying a particular condition in relation to any regulated activities; (b) specify matters which are, or may be, or are not, relevant in determining whether a person satisfies a particular condition in relation to any regulated activities. (4) Except where a regulator's threshold condition code so provides, it is not to be regarded as limiting the matters that are, or may be, relevant in determining whether a person satisfies a particular condition in relation to any regulated activities. (5) A threshold condition code cannot impose obligations that are enforceable against authorised persons otherwise than through the threshold conditions.

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