DEPP 2 Annex 2 Supervisory notices
Section of the Act |
Description |
Handbook reference |
Decision maker |
53(4)/(7)/ (8)(b) |
when the FSA is exercising its own-initiative power to vary a firm's Part IV permission |
See DEPP 2.5.7 G |
|
78(2)/(5) |
when the FSA is proposing to discontinue or discontinues the listing of a security |
See DEPP 2.5.9G (4) and DEPP 2.5.10 G |
|
78(2)/(5) |
when the FSA is proposing to suspend or suspends the listing of a security |
||
278A(2)/(8)(b) |
when the FSA discontinues or suspends the listing of a security on the application of the issuer of the security |
||
87O(2)/(5) |
when the FSA is proposing or deciding to exercise or deciding to maintain, vary or revoke any of the powers in sections 87K or 87L in respect of an infringement of any applicable provision. |
||
96C |
when the FSA is proposing to suspend or suspends trading in a financial instrument |
||
2191B(1) |
when the FSA gives a restriction notice under section 191B |
||
197(3)/(6)/(7)(b) |
when the FSA is exercising its power of intervention in respect of an incoming firm |
See DEPP 2.5.7 G and 2.5.7A G2 |
|
259(3)/(8)/ (9) (b) |
when the FSA is exercising its power to give or, on its own initiative, to vary a direction to the manager and trustee of an AUT |
||
268(3)/ (7)(a) or (9)(a) (as a result of (8)(b)/(13)) |
when the FSA is proposing or deciding to give or, on its own initiative, to vary a direction to the operator of a recognised scheme |
||
282 (3)/(6)/ (7)(b) |
when the FSA is exercising its power to give a direction to an operator, trustee or depositary of a recognised scheme |
||
2301J(1) |
when the FSA gives a restriction notice under section 301J |
||
321(2)/(5) |
when the FSA is exercising its power to impose a requirement on a former underwriting member of Lloyd's |
OEIC Regulations reference |
Description |
Handbook reference |
Decision maker |
Regulation 27 |
when the FSA is exercising its power to give or, on its own initiative, to vary a direction to an ICVC and its depositary |