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C2: FCA's Enforcement Division

Description

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mind Map on C2: FCA's Enforcement Division, created by Mark Varela on 03/04/2014.

Mind Map by Mark Varela, updated more than 1 year ago

	Created by Mark Varela over 10 years ago

Resource summary

C2: FCA's Enforcement Division

Annotations:

Investigates where firms breach FCA rules or provisions of FSMA

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

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