xmlns:atom="http://www.w3.org/2005/Atom" xmlns:atom="http://www.w3.org/2005/Atom"

  1. Introductory Text

  2. 1.Citation and commencement

  3. 2.Interpretation

  4. 3.Designation of competent authority

  5. 4.Prohibitions and suspensions

  6. 5.Revocation or variation of order under regulation 4

  7. 6.Administrative penalties and statements

  8. 7.Requirement to notify retail investor

  9. 8.Right to refer a matter to the Tribunal

  10. 9.Sanctions under regulation 4: procedure

  11. 10.Sanctions under regulation 6: procedure

  12. 11.Application of the Financial Services and Markets Act 2000 and secondary legislation

  13. 12.Minor and consequential amendments

  14. 13.Review

  15. Signature

    1. SCHEDULE 1

      Application and modification of the Financial Services and Markets Act 2000 and secondary legislation

      1. 1.The Tribunal

      2. 2.Information gathering and investigations

      3. 3.Statements of policy

      4. 4.Restrictions on disclosure of information

      5. 5.Injunctions and restitution

      6. 6.Notices

      7. 7.Offences

      8. 8.Limitation on powers to require documents

      9. 9.Penalties and fees

      10. 10.Exemption from liability in damages

      11. 11.The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001

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

    2. SCHEDULE 2

      Minor and consequential amendments to primary and secondary legislation

      1. 1.The Financial Services and Markets Act 2000

      2. 2.The Public Interest Disclosure (Prescribed Persons) Order (Northern Ireland) 1999

      3. 3.The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemption) Order 2001

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

      5. 5.The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

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

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

      8. 8.The Financial Services Act 2012 (Relevant Functions in relation to Complaints Scheme) Order 2014

      9. 9.The Public Interest Disclosure (Prescribed Persons) Order 2014

  17. Explanatory Note