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C2: FCA's Enforcement Division

Beschreibung

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mindmap am C2: FCA's Enforcement Division, erstellt von Mark Varela am 03/04/2014.
Mark Varela
Mindmap von Mark Varela, aktualisiert more than 1 year ago
Mark Varela
Erstellt von Mark Varela vor mehr als 10 Jahre
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Zusammenfassung der Ressource

C2: FCA's Enforcement Division

Anmerkungen:

  • Investigates where firms breach FCA rules or provisions of FSMA
  1. Withdraw firms authorisation
    1. Discipline authorised firms & people approved by FCA to work in them
      1. requiring skilled persons report (s166) on any aspects of regulatory compliance
        1. imposing penalties for market abuse
          1. applying to Court for injunction & restitution orders
            1. prosecuting various offences
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