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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12Section 63ZD (Statement of policy relating to conditional approval and variation) |
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Section 69 (Statement of policy) (including as applied by paragraph 1 of Schedule 5 to the Payment Services Regulations22) 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 143Y (Statement of policy for penalties under section 143W)28 |
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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,14 22by article 23(4) of the MCD Order,14 regulation 43 of the Small and Medium Sized Business (Credit Information) Regulations,15 by regulation 36(6) of the Payment Accounts Regulationsand by regulation 40 of the Small and Medium Sized Business (Finance Platforms) Regulations 15 ) 11134141311 |
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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,22 by article 24(2) of the MCD Order,14 regulation 44 of the Small and Medium Sized Business (Credit Information) Regulations,15 by paragraph 4 of Schedule 7 of the Payment Accounts Regulations and by regulation 41 of the Small and Medium Sized Business (Finance Platforms) Regulations)15 11134131411 |
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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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[deleted]22 4 |
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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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Regulation 28 (Statements of policy) of the Immigration Regulations |
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Regulation 29 (Application of Part 26 of the 2000 Act) of the Immigration Regulations |
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18Paragraph 7 of Schedule 1 (Guidance) of the MiFI Regulations |
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18Paragraph 14 of Schedule 1 (Statements of Policy) of the MiFI Regulations |
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18Paragraph 22 of Schedule 1 (Application of Part 26 of the Act) of the MiFI Regulations |
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16Regulation 20 (Guidance) of the DRS Regulations |
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18Regulation 27 (Statements of Policy) of the DRS Regulations |
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16Regulation 37 (Application of Part 26 of the Act) of the DRS Regulations |
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17Regulation 82 (The FCA: procedure (general)) of the Money Laundering Regulations |
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19Paragraph 3 (Statements of Policy) of Schedule 1 of the Packaged Retail and Insurance-based Investment Products Regulations |
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19Paragraph 6 (Application of Part 26 of the Act) of Schedule 1 to the Packaged Retail and Insurance-based Investment Products Regulations |
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20Regulation 14 (Statements of Policy) of the UK Benchmarks Regulations 2018 |
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20Regulation 19 (Application of Part 11 of the Act (information gathering and investigations)) of the UK Benchmarks Regulations 2018 |
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20Regulation 23 (Application of Part 26 of the Act (notices)) of the UK Benchmarks Regulations 2018 |
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21Regulation 9 (Statements of Policy) of the UK Securitisation Regulations |
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21Paragraph 1 of Schedule 1 (Application of sections 66 to 70 of the Act) of the UK Securitisation Regulations |
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21Paragraph 3 of Schedule 1 (Application of Part 11 of the Act (information gathering and investigation)) of the UK Securitisation Regulations |
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21Paragraph 4 of Schedule 1 (Application of Part 14 of the Act (disciplinary measures)) of the UK Securitisation Regulations |
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21Application of Part 26 of the Act (notices) of the UK Securitisation Regulations |
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25Regulation 16 (Statement of policy on imposition of penalties) of the Proxy Advisors (Shareholders’ Rights) Regulations |
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25Regulation 22 (Application of Part 11 of the Act (information gathering and investigations)) of the Proxy Advisors (Shareholders’ Rights) Regulations |
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25Regulation 26 (Application of Part 26 of the Act (notices)) of the Proxy Advisors (Shareholders’ Rights) Regulations |
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23Regulation 5 (Guidance) of the CRA (EU Exit) Regulations |
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23Regulation 8 (Statement of policy) of the CRA (EU Exit) Regulations |
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23Regulation 18 (Information gathering and investigations) of the CRA (EU Exit) Regulations |
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23Regulation 19 (Notices) of the CRA (EU Exit) Regulations |
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24Regulation 69 (Statement of policy) of the Trade Repositories (EU Exit) Regulations |
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24Regulation 71 (Powers to issue guidance) of the Trade Repositories (EU Exit) Regulations |
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24Regulation 75 (Application of Part 11 of the Act (information gathering and investigations) of the Trade Repositories (EU Exit) Regulations |
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24 Regulation 76 (Application of Part 26 of the Act (notices) of the Trade Repositories (EU Exit) Regulations |
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27Regulation 69 (Statement of policy) of the Trade Repositories (EU Exit) Regulations, as applied by regulation 15 of the Securitisation (Amendment) (EU Exit) Regulations |
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27Regulation 71 (Powers to issue guidance) of the Trade Repositories (EU Exit) Regulations, as applied by regulation 15 of the Securitisation (Amendment) (EU Exit) Regulations |
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27Regulation 75 (Application of Part 11 of the Act (information gathering and investigations) of the Trade Repositories (EU Exit) Regulations, as applied by regulation 15 of the Securitisation (Amendment) (EU Exit) Regulations |
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27Regulation 76 (Application of Part 26 of the Act (notices) of the Trade Repositories (EU Exit) Regulations, as applied by regulation 15 of the Securitisation (Amendment) (EU Exit) Regulations |
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26Regulation 30 (Statement of policy) of the SFTR (EU Exit) Regulations |
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26Regulation 32 (Powers to issue guidance) of the SFTR (EU Exit) Regulations |
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26Regulation 36 (Application of Part 11 of the Act (information gathering and investigations)) of the SFTR (EU Exit) Regulations |
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26Regulation 37 (Application of Part 26 of the Act (notices)) of the SFTR (EU Exit) Regulations |
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