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ENF 1 Annex 1 Table of powers referred to in the Enforcement manual

G

This table gives the main location in the Enforcement manual where guidance appears on those powers referred to in the Act , in secondary legislation made under the Act, or the Unfair Terms Regulations and in other legislation listed below. In many instances the powers will be referred to in other locations.21

SUBJECT

PART AND SECTION OF THE ACT

ENFORCEMENT MANUAL LOCATION

Variation and cancellation of permission and withdrawal of authorisation

Duty to withdraw authorisation

Part III, s 33

Cancellation of Part IV permission on the FSA's own initiative

Variation and cancellation on the FSA's'own initiative

Part IV, s 45

Variation of Part IV permission on the FSA's own initiative (Variation), Cancellation of Part IV permission on the FSA's own initiative (Cancellation)

Variation on acquisition of control

Part IV, s 46

Variation of Part IV permission on the FSA's own initiative

Exercise of powers in support of an overseas regulator

Part IV, s 47

Variation of Part IV permission on the FSA's own initiative (Variation), Cancellation of Part IV permission on the FSA's own initiative (Cancellation)

Prohibitions and restrictions

Part IV, s 48

ENF 3.2.10 G

Prohibition of individuals

Power to make a prohibition order

Part V, s.56

ENF 8

Withdrawal of Approval

Power to withdraw approval

Part V, s 63

ENF 7

Disciplinary Powers against Approved persons

Public statements of misconduct

Part V, s 66

ENF 11 and ENF 12

Financial penalties

Part V, s 66

ENF 11 and ENF 13

Disciplinary Powers in official listing cases

3Public censure or statement where an issuer or person fails to comply with his obligations under Part VI of the Act, a provision contained in prospectus rules or any other provision made in accordance with the Prospectus Directive

3Cancellation of sponsor's approval

3Public censure of sponsor

3Penalties for breach of Part 6 rules

Penalties for Market abuse

Power to impose penalties

Part VIII, s 123

ENF 14

Power to publish statement

Part VIII, s 123

ENF 14

Power to request court to impose penalties

Part VIII, s 129

ENF 14

Information Gathering and Investigation powers

Power to require information

Part XI, s 165

ENF 2.3.2 G - ENF 2.3.7 G

Power to require reports

Part XI, s 166

ENF 2.3.8 G - ENF 2.3.11 G

Power to appoint persons to carry out general investigations

Part XI, s 167

ENF 2.3.12 G - ENF 2.3.13 G

Power to appoint persons to carry out investigations in particular cases

Part XI, s 168

ENF 2.3.14 G - ENF 2.3.15 G

Investigations etc in support of an overseas regulator

Part XI, s 169

ENF 2.3.16 G -ENF 2.3.17 G and ENF 2.4.10 G - ENF 2.4.12 G

Powers of investigators appointed under s 167

Part XI, s 171

ENF 2.4.2 G - ENF 2.4.5 G and ENF 2.4.10 G - ENF 2.4.12 G

Additional powers of investigators appointed as a result of s 168(1) or (4)

Part XI, s 172

ENF 2.4.6 G- ENF 2.4.7 G and ENF 2.4.10 G - ENF 2.4.12 G

Powers of investigators appointed as a result of s 168(2)

Part XI, s 173

ENF 2.4.8 G and ENF 2.4.10 G - ENF 2.4.12 G

Information and documents: supplemental provisions

Part XI, s 175

ENF 2.4.10 G - ENF 2.4.12 G

Entry of premises under warrant

Part XI, s 176

ENF 2.15.1 G - ENF 2.15.4 G

3Investigation powers in official listing cases

Investigation powers in relation to collective investment schemes

Part XVII, s 284

ENF 2.3.18 G - ENF 2.3.21 G and ENF 2.4.13 G

Intervention against Incoming Firms

General grounds on which power of intervention is exercisable

Part XIII, s 194

ENF 4.3

Exercise of powers in support of an overseas regulator

Part XIII, s 195

ENF 4.3.5 G

Power of intervention

Part XIII, s 196

ENF 4

Power to apply to court for injunctions in respect of certain overseas insurance companies

Part XIII, s 198

ENF 6.8

Disciplinary Powers against firms

Public censure

Part XIV, s 205

ENF 12

Financial penalties

Part XIV, s 206

ENF 13

Authorised unit trusts

Revocation of authorisation order other than by consent

Part XVII, s 254

ENF 16.2.3 G -ENF 16.2.4 G and ENF 16.2.10 G - ENF 16.2.14 G

Power to give directions

Part XVII, s 257

ENF 16.2.5 G - ENF 16.2.7 G andENF 16.2.10 G - ENF 16.2.14 G

Applications to the court

Part XVII, s 258

ENF 16.2.8 G - ENF 16.2.14 G

Recognised schemes

Power to suspend promotion of an EEAscheme

Part XVII, s 267

ENF 16.4.2 G - ENF 16.4.4 G

Revocation of recognition of s 270 schemes (designated country/territory schemes) and s 272 schemes(individually recognised schemes)

Part XVII, s 279

ENF 16.4.5 G and ENF 16.4.7 G - ENF 16.4.8 G

Directions in relation to s 270 and s 272 schemes

Part XVII, s 281

ENF 16.4.6 G - ENF 16.4.8 G

Members of designated professional bodies

Power to make disapplication orders

Part XX, s 329

ENF 18

Disqualification of auditors and actuaries

Disqualification of auditor of authorised unit trust

Part XVII, s 249

ENF 17

Disqualification of auditors and actuaries of authorised persons

Part XXII, s 345

ENF 17

Insolvency proceedings and orders against debt avoidance

Company voluntary arrangements: power to participate in proceedings:

Part XXIV, s 356

ENF 10.7 - ENF 10.8

Individual voluntary arrangements: power to participate in proceedings:

Part XXIV, s 357

ENF 10.7 - ENF 10.8

Administration orders: power to present petitions

Part XXIV, s 359

ENF 10.5.1 G - ENF 10.5.4 G

Administration orders: power to participate in proceedings

Part XXIV, s 362

ENF 10.11.2 G - ENF 10.11.6 G and ENF 10.13

Receivership: power to participate in proceedings

Part XXIV, s 363

ENF 10.11.15 G - ENF 10.11.20 G

Voluntary winding up: power to participate in proceedings

Part XXIV, s 365

ENF 10.5.9 G - ENF 10.5.13 G and ENF 10.11.13 G - ENF 10.11.14 G

Winding-up by the court: power to present petitions

Part XXIV, s 367

ENF 10.5.5 G - ENF 10.5.8 G

Winding up by the court: power to participate in proceedings

Part XXIV, s 371

ENF 10.11.9 G - ENF 10.11.12 G and ENF 10.13

Bankruptcy petitions: power to present petitions

Part XXIV, s 372

ENF 10.5.14 G - ENF 10.5.17 G andENF 10.6.12 G - ENF 10.6.14 G

Bankruptcy: power to participate in proceedings

Part XXIV, s 374

ENF 10.11.22 G - ENF 10.11.23 G and ENF 10.13

Provisions against debt avoidance: right to apply for an order

Part XXIV, s 375

ENF 10.9 and ENF 10.10

Injunctions

Power to apply to court for injunctions in respect of certain overseas insurance companies

Part XIII, s 198

ENF 6.8

Injunctions for breach of a relevant requirement

Part XXV, s 380

ENF 6.3 and ENF 6.5 - ENF 6.6

Injunctions in cases of market abuse

Part XXV, s 381

ENF 6.4 and ENF 6.5 - ENF 6.6

Restitution

Power to apply to court for a restitution order

Part XXV, s 382

ENF 9

Restitution orders in cases of market abuse

Part XXV, s 383

ENF 9

Power to require restitution

Part XXV, s 384

ENF 9

Prosecution of Criminal Offences

Power to prosecute offences under the Act and subordinate legislation

Part XXVII, s 401

ENF 15

Power to prosecute other offences

Part XXVII, s 402

ENF 15

1Directions against incoming ECA provider

1Power to make a direction against an incoming ECA provider

ECD Regulations

ENF 19

2Unfair Terms Regulations

The Enforcement manual does not contain guidance inter alia, on the following:

sections 77 and 78 Discontinuance and suspension of listing

section 91 Penalties for breach of listing rules3

sections 297 and 298 Revoking recognition (see REC)

section 348 Restrictions on disclosure of confidential information

section 395 Procedures for the issue of supervisory notices and decision notices (See DEC)

section 404 Schemes for reviewing past business

Schedule 1, Part III, paragraph 17 Fees