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Chapter 1 The FCA (regs. 15-19) |
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Regulation 15 Functions of the FCA |
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Regulation 16 Monitoring and enforcement |
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Regulation 17 Guidance and consultation |
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Regulation 18 Fees and penalties |
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Regulation 19 Exemption from liability in damages |
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Chapter 2 Reporting and information (regs. 20-22) |
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Regulation 20 Reporting requirements |
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Regulation 21 Record keeping |
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Regulation 22 Restrictions on disclosure of information |
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Chapter 3 Investigatory powers (regs. 23-24) |
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Regulation 23 Information gathering and investigations under Part 11 of the 2000 Act |
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Regulation 24 Protected information |
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Chapter 4 Disciplinary measures (regs. 25-27) |
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Regulation 25 Public censure |
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Regulation 26 Financial penalties |
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Regulation 27 Limitations on permission to carry on regulated activities |
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Chapter 5 Injunctions and restitution (regs. 28-30) |
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Regulation 28 Injunctions |
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Regulation 29 Power of FCA to require restitution |
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Regulation 30 Restitution orders |
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Chapter 6 Misleading the FCA (regs. 31-35) |
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Regulation 31 Offence of misleading the FCA |
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Regulation 32 Restriction on penalties |
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Regulation 33 Liability of officers of bodies corporate etc |
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Regulation 34 Proceedings for offence |
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Regulation 35 Further provisions relating to proceedings for offence |
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Chapter 7 Procedure (regs. 36-41) |
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Regulation 36 Requirement to issue warning notice |
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Regulation 37 Requirement to issue decision notice |
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Regulation 38 Third party rights |
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Regulation 39 Service of notices |
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Regulation 40 Statements of policy |
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Regulation 41 Application of Part 26 of the 2000 Act |
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Chapter 8 Referral to the Tribunal (regs. 42-43) |
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Regulation 42 Referral to Tribunal |
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Regulation 43 The Tribunal |
