DEPP Sch 3 Fees and other required payments

1There are no requirements for fees in DEPP.

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

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 143W (Disciplinary powers for non-authorised parent undertakings) of the Act.19

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

[deleted]17

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

14the MiFI Regulations

the UK Benchmarks Regulations 201815

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

21the Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023