DEPP Sch 3 Fees and other required payments
The FCA's4 power to impose financial penalties is contained in:3 4 |
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Section 88A (Disciplinary powers: contravention of s.88(3)(c) or (e)) of the Act4 |
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Section 89Q (Disciplinary powers: contravention of s.89P(4)(b) or (d)) of the Act4 |
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Section 91 (Penalties for breach of Part 6 Rules) of the Act4 |
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Section 123 (Power to impose penalties in cases of market abuse) of the Act4 |
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section 131G (Power to impose penalty or issue censure) of the Act3 |
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Section 192K (Power to impose penalty or issue censure) of the Act4 |
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Section 206 (Financial penalties) of the Act |
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Section 249 (Disciplinary measures) of the Act4 |
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Part III of Schedule 1ZA4 (The Financial Conduct4 Authority) to the Act |
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the Transfer of Funds (Information on the Payer) Regulations 2007 (SI 2007/3298) |
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the RCB Regulations |
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the OTC derivatives, CCPs and trade repositories regulation5 |
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