DEPP Sch 4 Powers Exercised
1The following powers and related provisions in or under the Act have been exercised by the FCA6 to make the statements of policy in DEPP:2 6 |
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2Section 63C (Statement of policy) |
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Section 69 (Statement of policy) (including as applied by paragraph 1 of Schedule 5 to the Payment Services Regulations and by paragraph 1 of the Schedule to the Cross-Border Payments in Euro Regulations)4 |
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Section 88C (Action under s.88A: statement of policy)6 |
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Section 89S (Action under s. 89Q: statement of policy)6 |
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Section 93(1) (Statement of policy) |
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Section 124(1) (Statement of policy)2 |
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2Section 131J (Impositions of penalties under section 131G:5 statement5 of policy) 5 |
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Section 139A (Power of the FCA to give guidance)6 6 |
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Section 169(9) (Investigations etc in support of overseas regulator) (including as applied by paragraph 3 of Schedule 5 to the Payment Services Regulations) |
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Section 192N (Imposition of penalties under section 192K: statement of policy)6 |
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Section 210(1) (Statements of policy) (including as applied by regulation 86(6) of the Payment Services Regulations, and by paragraph 3 of the Schedule to the Cross-Border Payments in Euro Regulations 4) |
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Section 249 (Disciplinary measures)6 |
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Section 312J (Statement of policy)6 |
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Section 345D (Imposition of penalties on auditors or actuaries: statement of policy)6 |
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Section 395 (The Authority's procedures) (including as applied by paragraph 7 of Schedule 5 to the Payment Services Regulations, and by paragraph 5 of the Schedule to the Cross-Border Payments in Euro Regulations4 |
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Paragraph 16 (Penalties) of Schedule 1 (The Financial Services Authority) |
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The following additional powers and related provisions have been exercised by the FCA6 to make the statements of policy in DEPP: 6 |
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Regulation 42 (Guidance) of the RCB Regulations |
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Regulation 44 (Warning notices and decision notices) of the RCB Regulations3 |
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3Regulation 86 (Proposal to take disciplinary measures) of the Payment Services Regulations |
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Regulation 93 (Guidance) of the Payment Services Regulations4 |
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4Regulation 14 (Guidance) of the Cross-Border Payments in Euro Regulations |
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Regulation 70 (Warning Notices, Decision Notices and Supervisory Notices) of the AIFMD UK regulation7 |
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Regulation 71 (Application of Act to unauthorised AIFs8) of the AIFMD UK regulation78 8 |
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8Regulation 29 (Statements of policy) of the Referral Fees Regulations |
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8Regulation 30 (Application of Part 26 of the 2000 Act) of the Referral Fees Regulations9 |
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9Article 3(11) (Application of provisions of FSMA 2000 in connection with failure to comply with the 1974 Act) of the CCA Order |
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