Section 14
Notification of change in particulars
of Financial Advisers Act 2001
ActIn forceProvision 14 of 138
Section 14
Amended by1/20091/2009
(1)
Where —
(a)
a licensed financial adviser ceases to act as a financial adviser; or
(b)
a change occurs in any matter records of which are required by section 72 to be kept in relation to a licensed financial adviser,the licensed financial adviser must, not later than 14 days after the occurrence of that event, provide particulars of the event to the Authority in the prescribed form.
Amended by1/2009
(2)
A person who ceases to act as a licensed financial adviser must return the licence to the Authority within 14 days of the date of the cessation.
Amended by1/2009
(3)
Any person who, without reasonable excuse, contravenes this section shall be guilty of an offence.[18