Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2006-07-07

ENF 18.6 Other powers that may be relevant

ENF 18.6.1G

This section sets out the other powers that may be relevant when the FSA is considering whether to make a disapplication order in relation to a member.

ENF 18.6.2G

The FSA's powers to appoint investigators are set out in ENF 2. In particular, under section 168(4)(d) of the Act (Appointment of persons to carry out investigations in particular cases) the FSA may appoint investigators if there appear to be circumstances suggesting that an individual is not a fit and proper person to be involved in the discharge of any function in relation to exempt regulated activities.

ENF 18.6.3G

Where the FSA considers that it may be more appropriate to take action against particular individuals engaged in the carrying out of exempt regulated activities within the member of a profession concerned (see ENF 18.4.3 G), it may consider using its power to make prohibition orders against the relevant individuals (see ENF 8 (Prohibition of individuals)).