England and Wales commercial and regulatory procedures
When must an FCA decision be referred to the Upper Tribunal?
Ordinarily twenty-eight days after notice was given. Ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
- Period
- Ordinarily twenty-eight days after notice was given
- Trigger
- Notice given of the decision being referred
- Rule
- The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26B
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26B. The retained source governs ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
Source guide · No automated date
Check the applicable procedure
Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter. Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar. The actual notice given of the decision being referred and required completion must be established before using a final date.
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When must an FCA decision be referred to the Upper Tribunal?
Ordinarily twenty-eight days after notice was given. Ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
Responsible actor. Person entitled to refer the financial services decision.
Notice given of the decision being referred.
Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BHow does this provision count time?
- Ensure the reference notice reaches the Upper Tribunal and send the required regulator copies.
- Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar.
- Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar.
Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BWhich facts prevent one automatic date?
Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter. Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar. The actual notice given of the decision being referred and required completion must be established before using a final date.
The person entitled to refer the financial services decision has established the applicable procedure and notice given of the decision being referred. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter. Ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Ordinarily twenty-eight days after notice was given. No computed final date is supplied.
A proposed completion raises a nonbusiness-day or time-boundary question for ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar. Resolve this boundary under the identified provision and actual completion route. Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar.
The decision notice was dated earlier than the established giving event. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter. Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter. No automatic final date follows from this scenario.
Which conditions and exceptions apply?
- Applicable procedure and actual event
- Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
- Counting and completion boundary
- Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar.
- Establish a financial services reference governed by Schedule 3. A printed notice date, receipt date and statutory giving event are not interchangeable. An actual extension or case direction can matter.
- Person entitled to refer the financial services decision. Notice given of the decision being referred. Ensure the reference notice reaches the Upper Tribunal and send the required regulator copies. Schedule 3 paragraph 2(2) requires tribunal receipt. Apply the operative Upper Tribunal time rules and actual method, not an automatic generic court calendar.
What must the responsible actor complete?
Questions about this procedure
When must an FCA decision be referred to the Upper Tribunal?
Does posting the reference on the last day necessarily suffice?
No. Schedule 3 paragraph 2(2) requires the Upper Tribunal to receive it in time.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BMust the regulator receive a copy?
Paragraph 2(5) requires copies at the same time, including both regulators in a multiple-regulator case.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BWhat accompanies the reference?
A copy of the notice of decision under paragraph 2(4).
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BDoes every FCA communication trigger a reference right?
Establish the actual statutory decision and right of reference.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BIs the printed notice date always the event?
The provision uses notice given of the decision; the actual giving facts must be established.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BCan an extension be assumed?
No. Retain an actual granted extension or applicable direction.
The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26BOfficial sources and review
Provisions used (2)
| Provision | Purpose |
|---|---|
| The Tribunal Procedure (Upper Tribunal) Rules 2008, Schedule 3 paragraph 2 and rules 5, 12, 26B | Check the identified procedure, event, counting rule or qualification |
| Financial Services and Markets Act 2000, sections 133 and 388 | Check the identified procedure, event, counting rule or qualification |