Commentary on Sections: Part 2 Section 13: Appeals and references to Tribunal
98.Section 13 specifies the circumstances in which appeals and references may be made to the Tribunal.
99.Subsection 1 makes clear that a person may appeal to the Tribunal if the Regulator refuses the person’s application for authorisation, grants the authorisation on terms or subject to conditions, or imposes conditions on, suspends, or cancels the person’s authorisation.
100.Subsection 2 provides that the Regulator may refer complaints about the professional conduct of an authorised person to the Tribunal, and may also refer to the Tribunal a question about whether an authorised person has complied with a rule of professional conduct.
101.Subsection 3 outlines the powers of the Tribunal on a reference or appeal under this section. The Tribunal may take any decision on an application for authorisation that the Regulator could have taken. It may also impose or remove conditions on a person’s authorisation, suspend or cancel a person’s authorisation, or remit a matter to the Regulator.
102.Subsection 4 provides that an authorised person may appeal to the Court of Appeal against a decision of the Tribunal.