Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

DTR 1.5 Fees and sanctions

Fees

DTR 1.5.1GRP

FEES 4 sets out the fees payable by an issuer to the FCA.1

1
DTR 1.5.2R

[deleted]2

Sanctions

DTR 1.5.3GRP

  1. (1)

    If the FCA considers that an issuer, a person discharging managerial responsibilities or a connected person has breached any of the disclosure requirements2 it may, subject to the provisions of the Act, impose on that person a financial penalty or publish a statement censuring that person.

  2. (2)

    If the FCA considers that a former director was knowingly concerned in a breach by an issuer it may, subject to the provisions of the Act, impose on that person a financial penalty.