1. Introductory Text

  2. PART 1 Citation, commencement and interpretation

    1. 1.Citation and commencement

    2. 2.Interpretation

  3. PART 2 Designation of competent authorities

    1. 3.Designation of competent authorities

  4. PART 3 Administration and enforcement

    1. CHAPTER 1 Interpretation

      1. 4.Meaning of “non-authorised counterparty”

    2. CHAPTER 2 Information gathering

      1. 5.Power of the FCA to require information

      2. 6.Reports by skilled persons

      3. 7.Information and documents: supplemental provisions

    3. CHAPTER 3 Supervisory measures

      1. 8.Guidance

      2. 9.Directions

      3. 10.Directions: procedure

    4. CHAPTER 4 Measures in relation to individuals

      1. 11.Temporary prohibition orders

      2. 12.Temporary prohibition orders: procedure

      3. 13.Contravention of a temporary prohibition order by a recognised body

    5. CHAPTER 5 Disciplinary measures

      1. 14.Public censure

      2. 15.Financial penalties

    6. CHAPTER 6 Notices and appeals

      1. 16.Meaning of “regulator”

      2. 17.Warning notices

      3. 18.Decision notices

      4. 19.Application of Part 26 of the Act

      5. 20.Service of notices

      6. 21.Appeals

      7. 22.The Tribunal

    7. CHAPTER 7 Injunctions

      1. 23.Injunctions

    8. CHAPTER 8 Offences

      1. 24.Misleading the FCA

      2. 25.Restriction on penalties

      3. 26.Proceedings for offences

      4. 27.Proceedings against unincorporated bodies

  5. PART 4 Review

    1. 28.Review

  6. PART 5 Amendments

    1. 29.Schedule 1, which contains amendments to primary legislation, has effect....

    2. 30.Schedule 2, which contains amendments to secondary legislation, has effect....

  7. Signature

    1. SCHEDULE 1

      Amendments to primary legislation

      1. 1.Financial Services and Markets Act 2000

    2. SCHEDULE 2

      Amendments to secondary legislation

      1. 1.Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

      2. 2.Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

      3. 3.Payment to Treasury of Penalties (Enforcement Costs) Order 2013

      4. 4.Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013

      5. 5.The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013

  9. Explanatory Note