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  4. Point in time
    2018-10-01

DTR 1.5 Fees and sanctions

Fees

DTR 1.5.1GRP

FEES 4 sets out the fees payable by an issuer to the FCA.1

1
DTR 1.5.2R

[deleted]2

Sanctions

DTR 1.5.3GRP

  1. (1)

    If the FCA considers that an issuer, a person discharging managerial responsibilities or a connected person has breached any of the disclosure requirements2 it may, subject to the provisions of the Act, impose on that person a financial penalty or publish a statement censuring that person.

  2. (2)

    If the FCA considers that a former director was knowingly concerned in a breach by an issuer it may, subject to the provisions of the Act, impose on that person a financial penalty.