SUP Sch 4 Powers exercised
The following powers and related provisions in or under the Act have been exercised by the FCA to make the rules in SUP: |
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Section 59 (Approval for particular arrangements) |
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Section 138 (General rule-making power) |
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Section 139(1) and (4) (Miscellaneous ancillary matters) |
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Section 141 (Insurance business rules) |
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Section 144 (Price stabilising rules) |
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Section 145 (Financial promotion rules) |
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Section 146 (Money laundering rules) |
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Section 147 (Control of information rules) |
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Section 149 (Evidential provisions) |
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Section 150(2) (Actions for damages) |
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Section 156 (General supplementary powers) |
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Section 178 (Obligation to notify the Authority: acquisitions of control) |
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Section 191D (Obligation to notify the Authority: dispositions of control) |
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Section 238(5) (Restrictions on promotion) |
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Section 247 (Trust scheme rules) |
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9Section 293 (Notification requirements) |
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Section 318(1) (Exercise of powers through Council)7 |
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Section 340 (Appointment) |
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Section 341 (Access to books etc.)3 |
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Paragraph 17(1) (Fees) of Schedule 1 (The Financial Services Authority) |
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Regulations9 6(1) (FSA rules) and 12 (applications for authorisation)9 of the OEIC Regulations9 9 |
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Article 4(1) of the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Rules) Order 20019(SI 2001/1534)9 921 |
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The following powers and related provisions in or under the Act have been exercised by the FSA to give the guidance in SUP: |
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Section 157(1) (Guidance) |
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Article 11(1) of the Financial Services and Markets Act 2000 (Transitional Provisions and Savings)(Rules) Order 2001 (SI 2001/1534)9 |
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The following powers and related provisions in or under the Act have been exercised by the FCA in SUP to direct or require: |
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Section 51 (Applications under this Part) |
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Section 60 (Applications for approval) |
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Section 148(3) (Modification or waiver of rules) |
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Section 182 (Notification) |
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Section 250(4) and (5) (Modification or waiver of rules) |
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11Section 294 (Modification or waiver of rules) |
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Section 3169 (Direction by Authority)5 59 |
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| 4 | |
Regulation 7(3) and (4) (Modification or waiver of FSA rules) of the OEIC Regulations |
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The following additional powers and related provisions have been exercised by the FSA to give the directions and make the guidance in SUP: |
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Regulation 82 (Reporting requirements) of the Payment Services Regulations |
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Regulation 93 (Guidance) of the Payment Services Regulations13 |
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13Regulation 49 (Reporting requirements) of the Electronic Money Regulations |
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13Regulation 60 (Guidance) of the Electronic Money Regulations |
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