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Status: You are viewing the version of the handbook as on 2009-03-31.

DEPP 2 Annex 2 Supervisory notices

Section of the Act

Description

Handbook reference

Decision maker

53(4)/(7)/

(8)(b)

when the FSA is exercising its own-initiative power to vary a firm's Part IV permission

SUP 71

RDC or executive procedures

See DEPP 2.5.7 G

78(2)/(5)

when the FSA is proposing to discontinue or discontinues the listing of a security

LR 5

RDC or executive procedures

See DEPP 2.5.9G (4) and DEPP 2.5.10 G

78(2)/(5)

when the FSA is proposing to suspend or suspends the listing of a security

LR 5

Executive procedures

87O(2)/(5)

when the FSA is proposing or deciding to exercise or deciding to maintain, vary or revoke any of the powers in sections 87K or 87L in respect of an infringement of any applicable provision.

PR 5

Executive procedures

96C

when the FSA is proposing to suspend or suspends trading in a financial instrument

DTR

Executive procedures

197(3)/(6)/(7)(b)

when the FSA is exercising its power of intervention in respect of an incoming firm

SUP 14

RDC or executive procedures

See DEPP 2.5.7 G

259(3)/(8)/ (9) (b)

when the FSA is exercising its power to give or, on its own initiative, to vary a direction to the manager and trustee of an AUT

COLL

RDC

268(3)/ (7)(a) or (9)(a) (as a result of (8)(b)/(13))

when the FSA is proposing or deciding to give or, on its own initiative, to vary a direction to the operator of a recognised scheme

COLL

RDC

282 (3)/(6)/ (7)(b)

when the FSA is exercising its power to give a direction to an operator, trustee or depositary of a recognised scheme

COLL

RDC

321(2)/(5)

when the FSA is exercising its power to impose a requirement on a former underwriting member of Lloyd's

RDC

OEIC Regulations reference

Description

Handbook reference

Decision maker

Regulation 27

when the FSA is exercising its power to give or, on its own initiative, to vary a direction to an ICVC and its depositary

COLL

RDC