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

G01/07/2005

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.2 1

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	Part VI, s.87M	ENF 21
	3Cancellation of sponsor's approval	Part VI, s.88	ENF 21
	3Public censure of sponsor	Part VI, s.89	ENF 21
	3Penalties for breach of Part 6 rules	Part VI, s.91	ENF 21
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	Part VI, s.97	ENF 21
	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 EEA scheme	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
	2Power to seek injunctions under the Unfair Terms Regulations	N/A	ENF 20 (Unfair terms in consumer contracts)

The Enforcement manual does not contain guidance inter alia, on the following:
	sections 77 and 78 Discontinuance and suspension of listing
	3
	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

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