52(6)(a)
|
when the FSA is proposing to grant an application for a Part IV permission with a limitation or a requirement which was not applied for, or with a narrower description of regulated activity than that applied for
|
SUP 6
|
Executive procedures
|
52(6)(b)
|
when the FSA is proposing to grant an application to vary a firm'sPart IV permission but, other than as part of the application, to restrict the Part IV permission (either by imposing a limitation or requirement which was not applied for or by specifying a narrower description of regulated activity than that applied for)
|
|
Executive procedures
|
52(7)
|
when the FSA is proposing to refuse an application for a Part IV permission
|
|
Executive procedures
|
52(7)
|
when the FSA is proposing to refuse an application to vary a firm'sPart IV permission
|
SUP 6
|
Executive procedures
|
52(7)
|
when the FSA is proposing to refuse an application to cancel a firm'sPart IV permission
|
SUP 6
|
Executive procedures
|
52(9)(a)
|
when the FSA is deciding to grant an application for a Part IV permission with a limitation or a requirement which was not applied for, or with a narrower description of regulated activity than that applied for
|
|
RDC or executive procedures
See DEPP 2.5.6 G
|
52(9)(b)
|
when the FSA is deciding to grant an application to vary a firm's Part IV permission but, other than as part of the application, to restrict the Part IV permission (either by imposing a limitation or requirement which was not applied for or by specifying a narrower description of regulated activity than that applied for)
|
SUP 6
|
RDC or executive procedures
See DEPP 2.5.6 G
|
52(9)(c)
|
when the FSA is deciding to refuse an application for a Part IV permission
|
|
RDC or executive procedures
See DEPP 2.5.5 G
|
52(9)(c)
|
when the FSA is deciding to refuse an application to vary a firm's Part IV permission
|
SUP 6
|
RDC or executive procedures
See DEPP 2.5.6 G
|
52(9)(c)
|
when the FSA is deciding to refuse an application to cancel a firm's Part IV permission
|
SUP 6
|
RDC or executive procedures
See DEPP 2.5.5 G
|
54(1)/(2)
|
when the FSA is proposing or deciding to cancel a firm's Part IV permission otherwise than at its request *
|
|
RDC
|
57(1)/(3)
|
when the FSA is proposing or deciding to make a prohibition order against an individual*
|
|
RDC
|
58(3)/(4)
|
when the FSA is proposing or deciding to refuse an application for the variation or revocation of a prohibition order
|
|
RDC
|
62(2)
|
when the FSA is proposing to refuse an application for approval of a person performing a controlled function
|
SUP 10
|
Executive procedures
|
62(3)
|
when the FSA is deciding to refuse an application for approval of a person performing a controlled function
|
SUP 10
|
RDC or executive procedures
See DEPP 2.5.5 G
|
63(3)/(4)
|
when the FSA is proposing or deciding to withdraw approval from an approved person *
|
|
RDC
|
863B(1)/(3)
|
when the FSA is proposing or deciding to impose a penalty on a person under section 63A*
|
|
RDC
|
67(1)/(4)
|
when the FSA is proposing or deciding to take action against an approved person by exercising the disciplinary powers conferred by section 66*
|
|
RDC
|
76(4)/(5)
|
when the FSA is proposing or deciding to refuse an application for listing of securities
|
LR 2
and LR 3
|
Executive procedures
|
78(10)/(11)(a)
|
when the FSA has suspended, on its own initiative,3 the listing of securities3and is proposing or deciding to refuse an application by an issuer for cancellation of the suspension
3
|
LR 5
|
Executive procedures
|
378A(4)/(5)
|
When the FSA is proposing or deciding to refuse an application by the issuer of the securities for the discontinuance or suspension of the listing of the securities
|
LR 5
|
Executive procedures
|
378A(7)/(8)(a)
|
When the FSA has suspended the listing of securities on the application of the issuer of the securities and is proposing or deciding to refuse an application by the issuer for the cancellation of the suspension
|
LR 5
|
Executive procedures
|
87M(2)/(3)
|
when the FSA is proposing or deciding to publish a statement censuring an issuer of transferable securities, a person offering transferable securities to the public or a person requesting the admission of transferable securities to trading on a regulated market
|
|
RDC
3
4
7
|
788(4)/(6)
|
when the FSA is proposing or deciding to (1) refuse a person's application for approval as a sponsor; or (2) on its own initiative, cancel a person's approval as a sponsor10
10
|
LR 8
|
RDC
|
89(2)/(3)
|
when the FSA is proposing or deciding to publish a statement censuring a sponsor*4
|
|
RDC
9
|
989K(2)/(3)
|
when the FSA is proposing or deciding to publish a statement that an issuer of securities admitted to trading on a regulated market is failing or has failed to comply with an applicable transparency obligation
|
|
RDC
|
92(1)/(4)
|
when the FSA is proposing or deciding to take action against any person under section 91 for breach of Part 6 rules*4
|
|
RDC
|
126(1)/ 127(1)
|
when the FSA is proposing or deciding to impose a sanction for market abuse *
|
|
RDC
|
8131H(1)/ (4)
|
when the FSA is proposing or deciding to take action against a person under section 131G*
|
|
RDC
|
189(4)/(7)6
6
|
when the FSA is proposing or deciding to object to a change in control following receipt of a section 178 notice6
6
|
SUP 11
|
Executive procedures
|
189(4)/(7)6
6
|
when the FSA is proposing or deciding to approve a change in control with conditions, following receipt of a section 178 notice6
6
|
SUP 11
|
Executive procedures
|
187(1)/(3) and 188(1)191A(4)/(6)6
|
when the FSA is proposing or deciding to object to a person who has acquired or increased control without giving a section 178 notice6
6
|
SUP 11
|
Executive procedures
6
|
6191A(4)/(6)
|
when the FSA is proposing or deciding to object to a person'scontrol on the basis of the matters in section 186
|
SUP 11
|
Executive procedures
|
6191A(4)/(6)
|
when the FSA is proposing or deciding to object to a person'scontrol on the grounds that he is in breach of a condition imposed under section 187
|
SUP 11
|
Executive procedures
|
200(4)/(5)
|
when the FSA is proposing or deciding to refuse an application for variation or rescission of a requirement imposed on an EEAincoming firm
|
|
RDC or executive procedures
See DEPP 2.5.6 G
|
207(1)/ 208(1)
|
when the FSA is proposing or deciding to publish a statement (under section 205) or impose a financial penalty (under section 206) or suspend a permission or impose a restriction in relation to the carrying on of a regulated activity (under section 206A). This applies in respect of an authorised person, or an unauthorised person to whom section 404C applies.*12
12
8
8
8
|
|
RDC
|
245(1)/(2)
|
when the FSA is proposing or deciding to refuse an application for an authorisation order declaring a unit trust scheme to be an AUT
|
COLL 2
|
RDC or executive procedures
See DEPP 2.5.15 G
|
252(1)/(4)
|
when the FSA is proposing or deciding to refuse approval of a proposal to replace the trustee or manager of an AUT
|
COLL 2
|
Executive procedures
|
11252A(4)(b)/(6)(a)
|
when the FSA is proposing or deciding to refuse approval of a proposal by the manager of a feeder UCITS to make an alteration to the trust deed to enable the feeder UCITS to convert into a UCITS scheme which is not a feeder UCITS
|
COLL 11
|
Executive procedures
|
255(1)/(2)
|
when the FSA is proposing or deciding to make an order under section 254 revoking the authorisation order of an AUT *
|
None, but see Chapter 14 of the Regulatory Guide EG.
|
RDC
9
|
9256(4)/(5)
|
when the FSA is proposing or deciding to refuse a request for the revocation of the authorisation order of an AUT
|
|
RDC
|
260(1)/(2)
|
when the FSA, on an application to revoke or vary a direction under section 257, proposes or decides to refuse to revoke or vary the direction or proposes or decides to vary the direction otherwise than in accordance with the application
|
|
RDC
|
264(2)/ 265(4)
|
[deleted]11
11
|
|
11
|
269(1)/(2)
|
when the FSA, on an application under section 267(4) or (5) by an operator of a section 264 recognised scheme to revoke or vary a direction that the promotion of the scheme be suspended, proposes or decides to refuse the application or to vary the direction otherwise than in accordance with the application
|
|
RDC
|
271(1)/(3)
|
when the FSA is proposing or deciding to refuse approval of a collective investment scheme as a recognised scheme under section 270
|
COLL 9
|
Executive procedures
|
276(1)/(2)
|
when the FSA is proposing or deciding to refuse an application for an order declaring a collective investment scheme to be a recognised scheme under section 272
|
COLL 9
|
Executive procedures
|
280(1)/(2)
|
when the FSA is proposing or deciding to direct that a section 270 recognised scheme is to cease to be recognised or to revoke a section 272 order in respect of a recognised scheme *
|
|
RDC
|
1301G(3)(b)/(5)6
6
|
when the FSA is proposing or deciding12 to object to a proposed acquisition 6of a UKRIE following receipt of a section 301A 6notice .
6
6
|
REC 4.2C
|
Executive procedures
1
2
|
2301I(3)/(4)6
6
|
when the FSA is proposing or deciding to object to a person who has acquired or increased control in a UK RIE without giving a section 301 notice6
6
|
REC 4.2C
|
Executive procedures
|
2301I(3)/(4)6
6
|
when the FSA is proposing or deciding to object to a person's control in a UK RIE on the basis of the approval requirement in section 301F(4)6
6
|
REC 4.2C
|
Executive procedures
|
1313B(9)
|
[deleted]9
9
|
9
|
9
|
2313B(10)/(11)
|
[deleted]9
9
|
9
|
9
|
9313BB(5)/ 313BC(5)
|
when, upon the application of an institution, the FSA is proposing or deciding not to revoke a requirement imposed on an institution under section 313A or is proposing or deciding that a requirement imposed on a class of institutions under section 313A will continue to apply to the applicant
|
REC 4.2D
|
Executive procedures
|
9313BD(5)/ 313BE(4)
|
when, upon the application of an issuer, the FSA is proposing or deciding not to revoke a requirement imposed on an institution or a class of institutions under section 313A or to revoke a requirement imposed on a class of institutions under section 313A in relation to the class apart from one or more specified members of it, or one or more specified members of the class only
|
REC 4.2D
|
Executive procedures
|
321(8)/(9)
|
when the FSA is proposing or deciding to refuse an application for variation or revocation of a direction or a requirement imposed on a former underwriting member of Lloyd's*
|
|
RDC
|
331(1)/(3)
|
when the FSA is proposing or deciding to make an order disapplying the exemption from the general prohibition under section 327*
|
|
RDC
|
331(7)/(8)
|
when the FSA is proposing or deciding to refuse an application for the variation or revocation of an order made under section 329*
|
|
RDC
|
345(2)/(3)
|
when the FSA is proposing or deciding to disqualify an auditor or actuary from being the auditor of, or acting as an actuary for, any authorised person or class of authorised person or from being the auditor of any AUT or ICVC *
|
|
RDC
|
385(1)/ 386(1)
|
when the FSA is proposing or deciding to exercise the power under section 384(5) to require a person to pay restitution*
|
|
RDC
|
1412B(2)/(3)
|
when the FSA is proposing/deciding to refuse to approve a relevant system as defined in section 412A(9) of the Act
|
|
Executive procedures
|
1412B(4)/(5)
|
when the FSA is proposing/deciding to suspend or withdraw its approval in relation to a relevant system as defined in section 412A(9) of the Act*
|
|
Executive procedures
|
1412B(8)/(9)
|
when the FSA is proposing/deciding to refuse an application to cancel the suspension of approval in relation to a relevant system as defined in section 412A(9) of the Act*
|
|
Executive procedures
11
|
11Paragraph 15A(4) of Schedule 3
|
when the FSA is notifying an EEA firm wishing to manage a UCITS scheme and its Home State regulator that the EEA firm does not comply with the fund application rules, or is not authorised by its Home State regulator to manage the type of collective investment scheme for which authorisation is required, or has not provided the documentation required under article 20(1) of the UCITS Directive
|
SUP 13A
See DEPP 2.5.16 G
|
Executive procedures
|
Paragraph 15A(5) of Schedule 3
|
[deleted]11
11
|
|
11
|
11Paragraph 15B(3)(a) of Schedule 3
|
when the FSA is deciding not to withdraw a notice issued to an EEA firm wishing to manage a UCITS scheme and to its Home State regulator that the EEA firm does not comply with the fund application rules, or is not authorised by its Home State regulator to manage the type of collective investment scheme for which authorisation is required, or has not provided the documentation required under article 20(1) of the UCITS Directive
|
SUP 13A
|
Executive procedures
|
Paragraph 19(8)/ (12) of Schedule 3
|
when the FSA is proposing or deciding to refuse to give a consent notice to a UK firm wishing to establish a branch under an EEA right
|
SUP 13
|
RDC
|