ENF 7 (Withdrawal of approval) describes the FSA's power to withdraw approval from approved persons, the FSA's procedure and approach in relation to the exercise of this power, other powers that may be relevant when the FSA considers the exercise of the withdrawal power, and the effect of the FSA's decision to withdraw approval.
ENF 8 (Prohibition of individuals) outlines the FSA's power to make a prohibition order, the policy and procedure for exercising that power, the effect of the decision to make a prohibition order, and the FSA's policy in relation to applications by individuals to have a prohibition order varied or revoked.
ENF 9 (Restitution and redress) outlines the FSA's power to apply to the court for an order for restitution, the FSA's administrative power to require restitution, the FSA's policy concerning the use of its powers to obtain restitution, and the way in which the court or the FSA will determine the amount of restitution.
ENF 11 (Discipline of firms and approved persons: the FSA's general approach) explains the FSA's policy on private warnings, the criteria which the FSA will use when it decides whether to take disciplinary action against firms and approved persons; its enforcement policy relating to approved persons; the enforcement of the Principles; guidance on the standard of reasonable care required by some rules; and the FSA's approach where disciplinary action may also be taken by other UK or overseas authorities.
ENF 13 (Discipline of firms and approved persons: financial penalties) describes the FSA's powers to impose financial penalties (except those relating to market abuse), and the FSA's policy on the exercise of those powers. In particular, it contains a list of some of the factors which the FSA may take into account when it decides the level of a financial penalty.
ENF 14 (Sanctions for market abuse) describes the FSA's powers to impose financial penalties for market abuse, and contains a statement of policy with a non-exhaustive list of some of the factors which the FSA may take into account when it decides the level of a financial penalty. The chapter also refers to the FSA's power to publish a statement that a person has engaged in market abuse. It also considers the FSA's approach to market abuse cases where there may have been a breach of the Principles, and the FSA's approach to market abuse cases where other regulatory authorities may also be involved.