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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 1 January 2018 - onwards
Version 2 of 2

Regulation 4 Prohibitions and suspensions

(1) This regulation applies where a person has infringed the PRIIPs requirements.

(2) The FCA may make an order prohibiting a person from marketing a PRIIP.

(3) The FCA may make an order requiring a person to suspend the marketing of a PRIIP.

(4) An order under paragraph (3) must state the period for which the suspension is to have effect.

(5) The FCA may make an order -

(a) prohibiting a person from providing a key information document which does not comply with a requirement of Article 6, 7, 8 or 10 of the PRIIPs regulation, and

(b) requiring a person to publish a new version of a key information document.