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
    2008-05-31

RCB Sch 4 Powers exercised

RCB Sch 4.1

  1. 11. The following powers and related provisions in the RCB Regulations have been exercised by the FSA to make the rules and directions in RCB:

    1. (1) Regulation 8 and 9 (Applications for Registration);

    2. (2) Regulation 18, 20, 24 and 25 (Notification requirements);

    3. (3) Regulation 36 (financial penalties policy statements)

    4. (4) Regulation 46, Schedule 1 paragraph 5 (Fees).

  2. 2. The following power in the RCB Regulations has been exercised by the FSA to give guidance in RCB:

    1. (1) Regulation 42 (Guidance)

  3. 3. The following power under the Act has been exercised by the FSA to make the rules in RCB:

    1. (1) Section 138 (General rule-making power).