55X(1)(a) and(b)18
18
|
when the FCA18 is proposing to grant an application for a Part 4A permission18 with a limitation or a requirement which was not applied for, or with a narrower description of regulated activity than that applied for
18
18
|
SUP 6
|
Executive procedures
|
55X(1)(c) and (d)18
18
|
when the FCA18 is proposing to grant an application to vary a firm'sPart 4A permission18 but, other than as part of the application, to restrict the Part 4A permission18 (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)
18
18
18
|
|
Executive procedures
|
1855X(1)(e)
|
when the FCA is proposing to exercise its power under section 55L(1) in connection with an application to the PRA for a Part 4A permission or the variation of a Part 4A permission
|
|
Executive procedures
|
55X(2)18
18
|
when the FCA18 is proposing to refuse an application for a Part 4A permission18
18
18
|
|
Executive procedures
|
55X(2)18
18
|
when the FCA18 is proposing to refuse an application to vary a firm'sPart 4A permission18
18
18
|
SUP 6
|
Executive procedures
|
55X(2)18
18
|
when the FCA18 is proposing to refuse an application to cancel a firm'sPart 4A permission18
18
18
|
SUP 6
|
Executive procedures
|
1855X(2)
|
when the FCA is proposing to refuse an application for the variation of a requirement imposed under section 55L or for the imposition of a new requirement
|
|
Executive procedures
56
|
55X(4)(a)
55X(4)(b)18
18
|
when the FCA18 is deciding to grant an application for a Part 4A permission18 with a limitation or a requirement which was not applied for, or with a narrower description of regulated activity than that applied for
18
18
|
|
Executive procedures
56
|
55X(4)(c)
55X(4)(d)18
18
|
when the FCA18 is deciding to grant an application to vary a firm's Part 4A permission18but, other than as part of the application, to restrict the Part 4A permission18 (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)
18
18
18
|
SUP 6
|
Executive procedures
56
|
1855X(4)(e)
|
when the FCA is deciding to exercise its power under section 55L(1) in connection with an application to the PRA for a Part 4A permission or the variation of a Part 4A permission
|
|
|
55X(4)(f)18
18
|
when the FCA18 is deciding to refuse an application for a Part 4A permission18
18
18
|
|
Executive procedures
56
See DEPP 2.5.5 G
|
55X(4)(f)18
18
|
when the FCA18 is deciding to refuse an application to vary a firm's Part 4A permission18
18
18
|
SUP 6
|
Executive procedures
56
|
55X(4)(f)18
18
|
when the FCA18 is deciding to refuse an application to cancel a firm'sPart 4A permission18
18
18
|
SUP 6
|
Executive procedures
56
See DEPP 2.5.5 G
|
1855X(4)(f)
|
When the FCA is deciding to refuse an application for the variation of a requirement imposed under section 55L or for the imposition of a new requirement
|
|
Executive procedures
56
|
55Z(1)
55Z(2)18
18
|
when the FCA18 is proposing or deciding to cancel a firm's Part 4A permission18 otherwise than at its request *
18
18
|
|
Executive procedures
56
|
57(1)/(3)
|
when the FCA18 is proposing or deciding to make a prohibition order against an individual*
18
|
|
RDC
|
58(3)/(4)
|
when the FCA18 is proposing or deciding to refuse an application for the variation or revocation of a prohibition order
67
|
|
RDC
|
62(2)
|
when the FCA18 is proposing to refuse an application for approval of a person performing a controlled function or to grant the application subject to conditions or for a limited period (or both)27
18
|
SUP 10A
and SUP 10C27
|
Executive procedures
|
62(3)
|
when the FCA18 is deciding to refuse an application for approval of a person performing a controlled function or to grant the application subject to conditions or for a limited period (or both)27
18
|
SUP 10A
and SUP 10C27
|
Executive procedures
56
See DEPP 2.5.5 G
|
63(3)/(4)
|
when the FCA18 is proposing or deciding to withdraw approval from an approved person *
18
|
|
Executive procedures
56
|
863B(1)/(3)
|
when the FCA18 is proposing or deciding to impose a penalty on a person under section 63A*
18
|
|
RDC
|
2763ZA(4)(b) and 62(2)
|
when the FCA is proposing to refuse an application for variation of an approval granted to an SMF manager, subject to conditions
|
SUP 10C
|
Executive procedures
|
2763ZA(8) and 62(3)
|
when the FCA is deciding to refuse an application for variation of an approval granted to an SMF manager, subject to conditions
|
SUP 10C
|
Executive procedures
56
See DEPP 2.5.5G
|
67(1)/(4)
|
when the FCA18 is proposing or deciding to take action against an individual27 by exercising the disciplinary powers conferred by section 66*
18
|
|
RDC
|
76(4)/(5)
|
when the FCA18 is proposing or deciding to refuse an application for listing of securities
18
|
LR 2
and LR 3
|
Executive procedures
|
78(10)/(11)(a)
|
when the FCA18 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
18
3
|
LR 5
|
Executive procedures
|
378A(4)/(5)
|
When the FCA18 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
18
|
LR 5
|
Executive procedures
|
378A(7)/(8)(a)
|
When the FCA18 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
18
|
LR 5
|
Executive procedures
|
87M(2)/(3)
|
when the FCA18 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
18
|
|
RDC
3
4
7
|
788(4)(a)
88(6)(a)
88(8)(a)18
18
|
when the FCA18 is proposing or deciding to refuse a person's application for approval as a sponsor
18
18
10
18
|
LR 8
|
Executive procedures
56
|
1888(4)(a)
88(6)(a)
88(8)(b)
|
when the FCA is proposing or deciding to refuse a sponsor's application for the suspension of an approval as a sponsor
|
|
Executive procedures
|
1888(4)(a)
88(6)(a)
88(8)(c)
|
when the FCA is proposing or deciding to refuse a sponsor's application for the withdrawal of the suspension of an approval as a sponsor
|
|
Executive procedures
|
1888(4)(a)
88(6)(a)
88(8)(d)
|
when the FCA is proposing or deciding to refuse a sponsor's application for the withdrawal or variation of a limitation, or other restriction on the services to which a sponsor's approval relates
|
|
Executive procedures
56
See DEPP 2.5.11B G
|
1888(4)(aa)
88(6)(aa)
|
when the FCA is proposing or deciding to impose limitations or restrictions on the services to which a sponsor's approval relates
|
|
Executive procedures
56
See DEPP 2.5.11A G
|
1888(4)(b)
88(6)(b)
|
when the FCA is proposing or deciding to cancel a sponsor's approval as a sponsor otherwise than at the sponsor's request*
|
|
Executive procedures
56
|
1888B(1)
88B(5)
|
when the FCA is proposing or deciding to take action against a sponsor by exercising the disciplinary powers conferred by section 88A*
|
|
RDC
|
989K(2)/(3)
|
when the FCA18 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
18
|
|
RDC
|
1889P(5)(a)
89P(7)(a)
89P(9)(a)
|
when the FCA is proposing or deciding to refuse a person's application for approval as a primary information provider
|
|
Executive procedures
56
|
1889P(5)(a)
89P(7)(a)89P(9)(b)
|
when the FCA is proposing or deciding to refuse a primary information provider's application for the suspension of an approval as a primary information provider
|
|
Executive procedures
|
1889P(5)(a)
89P(7)(a)
89P(9)(c)
|
when the FCA is proposing or deciding to refuse a primary information provider's application for the withdrawal of the suspension of an approval as a primary information provider
|
|
Executive procedures
|
1889P(5)(a)
89P(7)(a)
89P(9)(d)
|
when the FCA is proposing or deciding to refuse a primary information provider's application for the withdrawal or variation of a limitation or other restriction on the dissemination of regulated information to which a primary information provider's approval relates
|
|
Executive procedures
56
See DEPP 2.5.11D G
|
1889P(5)(b)
89P(7)(b)
|
when the FCA is proposing or deciding to impose limitations or other restrictions on the dissemination of regulated information to which a primary information provider's approval relates.
|
|
Executive procedures
56
See DEPP 2.5.11A G
|
89P(5)(c)
89P(7)(c)
|
when the FCA is proposing or deciding to cancel a person's approval as a primary information provider otherwise than at the primary information provider's request
|
|
Executive procedures
56
|
89R(1)
89R(5)
|
when the FCA is proposing or deciding to take action against a primary information provider by exercising the disciplinary powers conferred by section 89Q
|
|
RDC
|
92(1)/(4)
|
when the FCA18 is proposing or deciding to take action against any person under section 91 for breach of Part 6 rules*4
18
|
|
RDC
|
126(1)/ 127(1)
|
when the FCA18 is proposing or deciding to impose a penalty or public censure under section 123 of the Act, a disciplinary prohibition under section 123A of the Act, or a suspension or restriction under section 123B of the Act29*
18
|
|
RDC
|
8131H(1)/ (4)
|
when the FCA18 is proposing or deciding to take action against a person under section 131G*
18
|
|
RDC
|
27142T(1)/ (4)
|
when the FCA is proposing or deciding to take action against a person under section 142S*
|
|
RDC
|
57S143T(1)
S143T(3)
|
When the FCA is proposing or deciding to make a Part 9C prohibition order under S143S(2) of the Act
|
|
RDC or executive procedures
|
57S143U(2) (b)
S143U(2) (c)
|
When the FCA is proposing or deciding to refuse an application for the variation or revocation of a prohibition order under S143U
|
|
RDC or executive procedures
|
57
S143W(1)
S143W(5)
|
When the FCA is proposing or deciding to impose a penalty on a person under section 143V (2) of the Act
|
|
RDC or executive procedures
|
57
S143X(1)
S143X(5)
|
When the FCA is proposing or deciding to publish a statement on a person under section 143P 143W((3) of the Act
|
|
RDC or executive procedures
|
189(4)/(7)6
6
|
when the FCA18 is proposing or deciding to object to a change in control following receipt of a section 178 notice6
18
6
|
SUP 11
|
Executive procedures
|
189(4)/(7)6
6
|
when the FCA18 is proposing or deciding to approve a change in control with conditions, following receipt of a section 178 notice6
18
6
|
SUP 11
|
Executive procedures
|
187(1)/(3) and 188(1)191A(4)/(6)6
|
when the FCA18 is proposing or deciding to object to a person who has acquired or increased control without giving a section 178 notice6
18
6
|
SUP 11
|
Executive procedures
6
|
6191A(4)/(6)
|
when the FCA18 is proposing or deciding to object to a person'scontrol on the basis of the matters in section 186
18
|
SUP 11
|
Executive procedures
|
6191A(4)/(6)
|
when the FCA18 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
18
|
SUP 11
|
Executive procedures
|
18192L(1)
192L(4)
|
when the FCA is proposing or deciding to take action against a qualifying parent undertaking by exercising the disciplinary powers conferred by section 192K*
|
|
RDC
|
200(4)/(5)
|
[deleted]45
18
18
|
|
45
|
207(1)/ 208(1)
|
when the FCA18 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
18
8
8
8
|
|
RDC
|
245(1)/(2)
|
when the FCA18 is proposing or deciding to refuse an application for an authorisation order declaring a unit trust scheme to be an AUT or an AUT to be a money market fund42
18
|
COLL 2
|
Executive procedures
56
See DEPP 2.5.15 G
|
18249
345B(1)/(4)
|
when the FCA is proposing or deciding to take action against an auditor by exercising the disciplinary powers conferred by section 249*
|
|
RDC
|
252(1)/(4)
|
when the FCA18 is proposing or deciding to refuse approval of a proposal to replace the trustee or manager of an AUT
18
|
COLL 2
|
Executive procedures
|
11252A(4)(b)/(6)(a)
|
when the FCA18 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
18
|
COLL 11
|
Executive procedures
|
255(1)/(2)
|
when the FCA18 is proposing or deciding to make an order under section 254 revoking the authorisation order of an AUT *
18
|
None, but see Chapter 14 of the Regulatory Guide EG.
|
Executive procedures
56
9
|
9256(4)/(5)
|
when the FCA18 is proposing or deciding to refuse a request for the revocation of the authorisation order of an AUT
18
|
|
Executive procedures
56
|
260(1)/(2)
|
when the FCA18, 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
18
|
|
Executive procedures
56
19
|
19261G(1)/(2)
|
when the FCA is proposing or deciding to refuse an application for an authorisation order declaring a scheme to be an ACS or an ACS to be a money market fund42
|
COLL 2
|
Executive procedures
56
See DEPP 2.5.15 G
|
19261R(1)/(4)
|
when the FCA is proposing or deciding to refuse approval of a proposal to replace the depositary or authorised contractual scheme manager of an ACS
|
COLL 2
|
Executive procedures
|
19261S(4)(b)/ (6)(a)
|
when the FCA is proposing or deciding to refuse approval of a proposal by the authorised contractual scheme manager of an ACS which is a feeder UCITS to make an alteration to the contractual scheme deed to enable the feeder UCITS to convert into a UCITS scheme which is not a feeder UCITS
|
COLL 11
|
Executive procedures
|
19261V(1)/(2)
|
when the FCA is proposing or deciding to make an order under section 261U revoking the authorisation order of an ACS*
|
None, but see Chapter 14 of the Regulatory Guide EG.
|
Executive procedures
56
|
19261W(4)/(5)
|
when the FCA is proposing or deciding to refuse a request for the revocation of the authorisation order of an ACS
|
|
Executive procedures
56
|
19261Z2(1)/(2)
|
when the FCA, on an application to revoke or vary a direction under section 261X, 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
|
|
Executive procedures
56
|
264(2)/ 265(4)
|
[deleted]11
11
|
|
11
|
269(1)/(2)
|
[deleted]45
18
18
|
|
45
20
|
276(1)/(2)
|
when the FCA18 is proposing or deciding to refuse an application for an order declaring a collective investment scheme to be a recognised scheme under section 272
18
|
COLL 9
|
Executive procedures
|
280(1)/(2)
|
when the FCA18 is proposing or deciding to revoke a section 272 order in respect of a recognised scheme *
18
20
|
|
Executive procedures
56
|
1301G(3)(b)/(5)6
6
|
when the FCA18 is proposing or deciding12 to object to a proposed acquisition 6of a UKRIE following receipt of a section 301A 6notice .
18
6
6
|
REC 4.2C
|
Executive procedures
1
2
|
2301I(3)/(4)6
6
|
when the FCA18 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
18
6
|
REC 4.2C
|
Executive procedures
|
2301I(3)/(4)6
6
|
when the FCA18 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
18
6
|
REC 4.2C
|
Executive procedures
|
18312G(1)
312H(1)
|
when the FCA is proposing or deciding to take action against a recognised investment exchange by exercising the disciplinary powers conferred by sections 312E and 312F*
|
|
RDC
|
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 FCA18 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
18
|
REC 4.2D
|
Executive procedures
|
9313BD(5)/ 313BE(4)
|
when, upon the application of an issuer, the FCA18 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
18
|
REC 4.2D
|
Executive procedures
|
331(1)/(3)
|
when the FCA18 is proposing or deciding to make an order disapplying the exemption from the general prohibition under section 327*
18
|
|
Executive procedures
56
|
331(7)/(8)
|
when the FCA18 is proposing or deciding to refuse an application for the variation or revocation of an order made under section 329*
18
|
|
Executive procedures
56
|
345B(1)
345B(4)18
18
|
when the FCA18 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, ACS19 or ICVC *
|
|
RDC
|
18345B(1)
345B(4)
|
when the FCA is proposing or deciding to disqualify an auditor from being the auditor of any recognised investment exchange or any class of recognised investment exchange*
|
|
RDC
|
18345B(1)
345B(4)
|
when the FCA is proposing or deciding to take action against an auditor or actuary by exercising the disciplinary powers conferred by sections 345(2)(c) or (d)*
|
|
RDC
|
385(1)/ 386(1)
|
when the FCA18 is proposing or deciding to exercise the power under section 384(5) to require a person to pay restitution*
18
|
|
RDC
17
|
17404A(8)(a)
|
In connection with a consumer redress scheme, when the FCA is proposing to make a determination of whether a failure by a relevant firm has caused (or may cause) loss or damage to a consumer, or what the redress should be in respect of the failure18
|
CONRED
|
Executive procedures
|
18404A(8)(a)
|
In connection with a consumer redress scheme, when the FCA is deciding to make a determination of whether a failure by a relevant firm has caused (or may cause) loss or damage to a consumer, or what the redress should be in respect of the failure
|
CONRED
|
Executive procedures
|
1412B(2)/(3)
|
when the FCA18 is proposing/deciding to refuse to approve a relevant system as defined in section 412A(9) of the Act
18
|
|
Executive procedures
|
1412B(4)/(5)
|
when the FCA18 is proposing/deciding to suspend or withdraw its approval in relation to a relevant system as defined in section 412A(9) of the Act*
18
|
|
Executive procedures
|
1412B(8)/(9)
|
when the FCA18 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*
18
|
|
Executive procedures
11
|
11Paragraph 15A(4) of Schedule 3
|
[deleted]45
18
18
|
45
|
45
|
Paragraph 15A(5) of Schedule 3
|
[deleted]11
11
|
|
11
|
11Paragraph 15B(2)18(a) of Schedule 3
18
|
[deleted]45
18
18
|
45
|
45
|
Paragraph 19(8)/ (12) of Schedule 3
|
[deleted]45
18
18
|
45
|
45
|
55Paragraph 5(6) of Schedule 6A
|
when the FCA is proposing to refuse to annul a decision to exercise its additional own-initiative variation power*
|
|
RDC
|
55Paragraph 5(7) of Schedule 6A
|
when the FCA is deciding to refuse to annul a decision to exercise its additional own-initiative variation power*
|
|
RDC
|