Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

DEPP Sch 3 Fees and other required payments

DEPP Sch 3.1G

1There are no requirements for fees in DEPP.
DEPP Sch 3.2G

The FCA's4 power to impose financial penalties is contained in:3

4

Section 63A (Power to impose penalties) of the Act4

Section 66 (Disciplinary powers) of the Act4

Section 88A (Disciplinary powers: contravention of s.88(3)(c) or (e)) of the Act4

Section 89Q (Disciplinary powers: contravention of s.89P(4)(b) or (d)) of the Act4

Section 91 (Penalties for breach of Part 6 Rules) of the Act4

Section 123 (Power to impose penalties in cases of market abuse) of the Act4

section 131G (Power to impose penalty or issue censure) of the Act3

Section 192K (Power to impose penalty or issue censure) of the Act4

Section 206 (Financial penalties) of the Act

Section 249 (Disciplinary measures) of the Act4

Section 312F (Financial penalties) of the Act4

Section 345 (Disciplinary measures) of the Act4

Part III of Schedule 1ZA4 (The Financial Conduct4 Authority) to the Act

the Money Laundering Regulations

the Transfer of Funds (Information on the Payer) Regulations 2007 (SI 2007/3298)

the RCB Regulations

the Payment Services Regulations

2the Cross-Border Payments in Euro Regulations

the OTC derivatives, CCPs and trade repositories regulation5

the AIFMD UK regulation6

7the Referral Fees Regulations

the CCA Order8

9

the Immigration Regulations10

10

the MCD Order

the Small and Medium Sized Business (Credit Information) Regulations11