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You are viewing the version of the document as on 2022-01-04.

Timeline guidance

breach

27in DEPP:

  1. (1) misconduct in respect of which the 46 FCA 46 is empowered to take action pursuant to section 66 (Disciplinary powers) of the Act; or
  2. (1A) conduct in respect of which the FCA is empowered to take action pursuant to section 63A (Power to impose penalties) of the Act; or66
  3. (2) a contravention in respect of which the46 FCA 46 is empowered to impose a penalty pursuant to section 91 (Penalties for breach of listing rules) of the Act; or
  4. (3) a contravention for the purposes of Part XIV (Disciplinary Measures); or
  5. (4) a contravention in respect of which the FCA takes action pursuant to sections 123, 123A or 123B65 of the Act,
  6. (5) a contravention of any directly applicable 35 EU 35 regulation made under MiFID;46 37 27
  7. 3742(6) a contravention in respect of which the46 FCA 46 is empowered to take action pursuant to section 131G (Breach of short selling regulation: Power to impose penalty or issue censure) of the Act;46 42
  8. (7) a contravention in respect of which the FCA is empowered to take action pursuant to section 88A (Disciplinary powers: contravention of s.88(3)(c) or (e)) of the Act;46
  9. (8) a contravention in respect of which the FCA is empowered to take action pursuant to section 89Q (Disciplinary powers: contravention of s.89P(4)(b) or (d)) of the Act;46
  10. (9) a contravention in respect of which the FCA is empowered to take action pursuant to section 192K (Power to impose penalty or issue censure) of the Act;46
  11. (10) a contravention in respect of which the FCA is empowered to take action pursuant to section 249 (Disciplinary measures) of the Act;46
  12. (11) a contravention in respect of which the FCA is empowered to take action pursuant to section 312E (Public censure) or section 312F (Financial penalties) of the Act; or46
  13. (12) a contravention in respect of which the FCA is empowered to take action pursuant to section 345 (Disciplinary measures: FCA) of the Act.46