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Status: You are viewing the version of the handbook as on 2018-07-01.

EG 2.7 1Sources of cases

EG 2.7.1RP

1The FCA may be alerted to possible contraventions or breaches by complaints from the public or firms, by referrals from other authorities or through its own enquiries and supervisory activities. Firms may also bring their own contraventions to the FCA's attention, as they are obliged to do under Principle 11 of the Principles for Businesses and rules in the FCA's Supervision manual.