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C2: FCA's Enforcement Division

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CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mapa Mental sobre C2: FCA's Enforcement Division, criado por Mark Varela em 03-04-2014.
Mark Varela
Mapa Mental por Mark Varela, atualizado more than 1 year ago
Mark Varela
Criado por Mark Varela mais de 10 anos atrás
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Resumo de Recurso

C2: FCA's Enforcement Division

Anotações:

  • 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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