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C2: FCA's Enforcement Division

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CII - Level 4 Diploma (C5.1: Responsibilites & approach to regulation) R01 - Financial services, regulation, and ethics Mapa Mental sobre C2: FCA's Enforcement Division, creado por Mark Varela el 03/04/2014.
Mark Varela
Mapa Mental por Mark Varela, actualizado hace más de 1 año
Mark Varela
Creado por Mark Varela hace más de 10 años
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C2: FCA's Enforcement Division

Nota:

  • 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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