DEPP Sch 3 Fees and other required payments

DEPP Sch 3.1G06/01/2010

1There are no requirements for fees in DEPP.

DEPP Sch 3.2G01/01/2022

The FCA's 4 power to impose financial penalties is contained in:3 4
	Section 63A (Power to impose penalties) of the Act 4
	Section 66 (Disciplinary powers) of the Act 4
	Section 88A (Disciplinary powers: contravention of s.88(3)(c) or (e)) of the Act 4
	Section 89Q (Disciplinary powers: contravention of s.89P(4)(b) or (d)) of the Act 4
	Section 91 (Penalties for breach of Part 6 Rules) of the Act 4
	Section 123 (Power to impose penalties in cases of market abuse) of the Act 4
	section 131G (Power to impose penalty or issue censure) of the Act 3
	Section 143W (Disciplinary powers for non-authorised parent undertakings) of the Act.19
	Section 192K (Power to impose penalty or issue censure) of the Act 4
	Section 206 (Financial penalties) of the Act
	Section 249 (Disciplinary measures) of the Act 4
	Section 312F (Financial penalties) of the Act 4
	Section 345 (Disciplinary measures) of the Act 4
	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
	[deleted]17 2
	the OTC derivatives, CCPs and trade repositories regulation 5
	the AIFMD UK regulation 6
	7the Referral Fees Regulations
	the CCA Order 8
9	the Immigration Regulations 10
10	the MCD Order
	the Small and Medium Sized Business (Credit Information) Regulations 11
	14the MiFI Regulations
	the UK Benchmarks Regulations 2018 15
	16the UK Securitisation Regulations

	14the DRS Regulations
	12the Payment Accounts Regulations
	13the Small and Medium Sized Business (Finance Platforms) Regulations
	18the Proxy Advisors (Shareholders’ Rights) Regulations

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DEPP Sch 3 Fees and other required payments