| The following powers and related provisions in or under the Act have been exercised by the FCA to make the statements of policy in DEPP: | |
| Section 63C (Statement of policy) | |
| Section 63ZD (Statement of policy relating to conditional approval and variation) | |
| Section 69 (Statement of policy) (including as applied by paragraph 1 of Schedule 5 to the Payment Services Regulations and by Schedule 1 to the Short Selling Regulations 2025) | |
| Section 88C (Action under s.88A: statement of policy) | |
| Section 89S (Action under s. 89Q: statement of policy) | |
| Section 93(1) (Statement of policy) | |
| Section 124(1) (Statement of policy) | |
| Section 131J (Impositions of penalties under section 131G: statement of policy) | |
| Section 139A (Power of the FCA to give guidance) | |
| Section 143Y (Statement of policy for penalties under section 143W) | |
| Section 169(9) (Investigations etc in support of overseas regulator) (including as applied by regulation 18 of the Data Reporting Services Regulations 2024 and by paragraph 3 of Schedule 5 to the Payment Services Regulations and by Schedule 1 to the Short Selling Regulations 2025) | |
| Section 192N (Imposition of penalties under section 192K: statement of policy) | |
| Section 210(1) (Statements of policy) (including as applied by regulation 86(6) of the Payment Services Regulations, by article 23(4) of the MCD Order, regulation 43 of the Small and Medium Sized Business (Credit Information) Regulations, by regulation 36(6) of the Payment Accounts Regulations, regulation 40 of the Small and Medium Sized Business (Finance Platforms) Regulations, by Part 3 of the Schedule to the Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023, by Part 1 of Schedule 1 to the Pisces sandbox regulations and by Schedule 1 to the Short Selling Regulations 2025) | |
| Section 249 (Disciplinary measures) | |
| Section 312J (Statement of policy) (including as applied by Part 1 of Schedule 1 to the Pisces sandbox regulations and by regulation 19 of the Data Reporting Services Regulations 2024) | |
| Section 312T (Statement of policy relating to disciplinary measures) | |
| Section 345D (Imposition of penalties on auditors or actuaries: statement of policy) | |
| Section 395 (The Authority's procedures) (including as applied by Part 3 of the Schedule to the Financial Services and Markets Act 2023 (Digital Securities Sandbox) Regulations 2023, by paragraph 7 of Schedule 5 to the Payment Services Regulations, by article 24(2) of the MCD Order, regulation 44 of the Small and Medium Sized Business (Credit Information) Regulations, by paragraph 4 of Schedule 7 of the Payment Accounts Regulations, regulation 41 of the Small and Medium Sized Business (Finance Platforms) Regulations, by paragraph 12(6) of Schedule 1 to the Securitisation Regulations 2024, by Part 1 of Schedule 1 to the Pisces sandbox regulations and by Schedule 1 to the Short Selling Regulations 2025) | |
| Paragraph 16 (Penalties) of Schedule 1 (The Financial Services Authority) | |
DEPP Sch 4 Powers Exercised
You are viewing DEPP Sch 4 Powers Exercised as of . DEPP Sch 4 Powers Exercised was last updated on 31/07/2026.
DEPP Sch 4 Powers Exercised
31/07/2026G
19/01/2026G
| The following additional powers and related provisions have been exercised by the FCA to make the statements of policy in DEPP: | |
| Regulation 42 (Guidance) of the RCB Regulations | |
| Regulation 44 (Warning notices and decision notices) of the RCB Regulations | |
| Regulation 86 (Proposal to take disciplinary measures) of the Payment Services Regulations | |
| Regulation 93 (Guidance) of the Payment Services Regulations | |
| [deleted] | |
| Regulation 70 (Warning Notices, Decision Notices and Supervisory Notices) of the AIFMD UK regulation | |
| Regulation 71 (Application of Act to unauthorised AIFs) of the AIFMD UK regulation | |
| Regulation 29 (Statements of policy) of the Referral Fees Regulations | |
| Regulation 30 (Application of Part 26 of the 2000 Act) of the Referral Fees Regulations | |
| Article 3(11) (Application of provisions of FSMA 2000 in connection with failure to comply with the 1974 Act) of the CCA Order | |
| Article 4 (Statement of policy) of the CCA Order | |
| Regulation 28 (Statements of policy) of the Immigration Regulations | |
| Regulation 29 (Application of Part 26 of the 2000 Act) of the Immigration Regulations | |
| Paragraph 7 of Schedule 1 (Guidance) of the MiFI Regulations | |
| Paragraph 14 of Schedule 1 (Statements of Policy) of the MiFI Regulations | |
| Paragraph 22 of Schedule 1 (Application of Part 26 of the Act) of the MiFI Regulations | |
| Regulation 20 (Guidance) of the DRS Regulations | |
| Regulation 27 (Statements of Policy) of the DRS Regulations | |
| Regulation 37 (Application of Part 26 of the Act) of the DRS Regulations | |
| Regulation 82 (The FCA: procedure (general)) of the Money Laundering Regulations | |
| Paragraph 3 (Statements of Policy) of Schedule 1 of the Packaged Retail and Insurance-based Investment Products Regulations | |
| Paragraph 6 (Application of Part 26 of the Act) of Schedule 1 to the Packaged Retail and Insurance-based Investment Products Regulations | |
| Regulation 14 (Statements of Policy) of the UK Benchmarks Regulations 2018 | |
| Regulation 19 (Application of Part 11 of the Act (information gathering and investigations)) of the UK Benchmarks Regulations 2018 | |
| Regulation 23 (Application of Part 26 of the Act (notices)) of the UK Benchmarks Regulations 2018 | |
| Regulation 9 (Statements of Policy) of the UK Securitisation Regulations | |
| Paragraph 1 of Schedule 1 (Application of sections 66 to 70 of the Act) of the UK Securitisation Regulations | |
| Paragraph 3 of Schedule 1 (Application of Part 11 of the Act (information gathering and investigation)) of the UK Securitisation Regulations | |
| Paragraph 4 of Schedule 1 (Application of Part 14 of the Act (disciplinary measures)) of the UK Securitisation Regulations | |
| Application of Part 26 of the Act (notices) of the UK Securitisation Regulations | |
| Regulation 46 (Statement of policy) of the Securitisation Regulations 2024 | |
| Paragraph 10 of Schedule 1 (Application of Part 11 of the Act (information gathering and investigation)) of the Securitisation Regulations 2024 | |
| Paragraph 12 of Schedule 1 (Application of Part 26 of the Act (notices)) of the Securitisation Regulations 2024 | |
| Regulation 16 (Statement of policy on imposition of penalties) of the Proxy Advisors (Shareholders’ Rights) Regulations | |
| Regulation 22 (Application of Part 11 of the Act (information gathering and investigations)) of the Proxy Advisors (Shareholders’ Rights) Regulations | |
| Regulation 26 (Application of Part 26 of the Act (notices)) of the Proxy Advisors (Shareholders’ Rights) Regulations | |
| Regulation 5 (Guidance) of the CRA (EU Exit) Regulations | |
| Regulation 8 (Statement of policy) of the CRA (EU Exit) Regulations | |
| Regulation 18 (Information gathering and investigations) of the CRA (EU Exit) Regulations | |
| Regulation 19 (Notices) of the CRA (EU Exit) Regulations | |
| Regulation 69 (Statement of policy) of the Trade Repositories (EU Exit) Regulations | |
| Regulation 71 (Powers to issue guidance) of the Trade Repositories (EU Exit) Regulations | |
| Regulation 75 (Application of Part 11 of the Act (information gathering and investigations) of the Trade Repositories (EU Exit) Regulations | |
| Regulation 76 (Application of Part 26 of the Act (notices) of the Trade Repositories (EU Exit) Regulations | |
| Regulation 30 (Statement of policy) of the SFTR (EU Exit) Regulations | |
| Regulation 32 (Powers to issue guidance) of the SFTR (EU Exit) Regulations | |
| Regulation 36 (Application of Part 11 of the Act (information gathering and investigations)) of the SFTR (EU Exit) Regulations | |
| Regulation 37 (Application of Part 26 of the Act (notices)) of the SFTR (EU Exit) Regulations | |
| Regulation 42 of the Public Offers and Admissions to Trading Regulations | |