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

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SUP Sch 4 Powers exercised

SUP Sch 4.1G

The following powers and related provisions in or under the Act have been exercised by the FSA to make the rules in SUP:

Section 59 (Approval for particular arrangements)

Section 118(8) (Market abuse)

Section 138 (General rule-making power)

Section 139(1) and (4) (Miscellaneous ancillary matters)

Section 141 (Insurance business rules)

Section 144 (Price stabilising rules)

Section 145 (Financial promotion rules)

Section 146 (Money laundering rules)

Section 147 (Control of information rules)

Section 149 (Evidential provisions)

Section 150(2) (Actions for damages)

Section 156 (General supplementary powers)

8

Section 178 (Obligation to notify the Authority: acquisitions of control)

8

Section 191D (Obligation to notify the Authority: dispositions of control)

Section 238(5) (Restrictions on promotion)

Section 247 (Trust scheme rules)

6

Section 318(1) (Exercise of powers through Council)7

Section 340 (Appointment)

3

Section 341 (Access to books etc.)3

Regulation 6(1) of the OEIC Regulations (FSA rules)

Article 4(1) of The Financial Services and Markets Act 2000 (Transitional Provisions and Savings)(Rules) Order 2001The Financial Services and Markets Act 2000 (Transitional Provisions and Savings)(Rules) Order 200121
SUP Sch 4.2G

The following powers and related provisions in or under the Act have been exercised by the FSA to give the guidance in SUP:

Section 157(1) (Guidance)

Article 11(1) of The Financial Services and Markets Act 2000 (Transitional Provisions and Savings)(Rules) Order 2001
SUP Sch 4.3G

The following powers and related provisions in or under the Act have been exercised by the FSA in SUP to direct or require:

Section 51 (Applications under this Part)

Section 60 (Applications for approval)

Section 148(3) (Modification or waiver of rules)

Section 182 (Notification)

Section 250(4) and (5) (Modification or waiver of rules)

Section 317 (Direction by Authority)5

5

4

Paragraph 5(4) (Notice of Authority) of Schedule 4 (Treaty Rights)4

Regulation 7(3) and (4) (Modification or waiver of FSA rules) of the OEIC Regulations