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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.

breach

    27in DEPP:

      1. (1) misconduct in respect of which the 46 FCA 46 is empowered to take action pursuant to section 66 (Disciplinary powers) of the Act; or
      1. (1A) conduct in respect of which the FCA is empowered to take action pursuant to section 63A (Power to impose penalties) of the Act; or66
      1. (2) a contravention in respect of which the46 FCA 46 is empowered to impose a penalty pursuant to section 91 (Penalties for breach of listing rules) of the Act; or
      1. (3) a contravention for the purposes of Part XIV (Disciplinary Measures); or
      1. (4) a contravention in respect of which the FCA takes action pursuant to sections 123, 123A or 123B65 of the Act,
      1. (5) a contravention of any directly applicable 35 EU 35 regulation made under MiFID;46 37 27
      1. 3742(6) a contravention in respect of which the46 FCA 46 is empowered to take action pursuant to section 131G (Breach of short selling regulation: Power to impose penalty or issue censure) of the Act;46 42
      1. (7) a contravention in respect of which the FCA is empowered to take action pursuant to section 88A (Disciplinary powers: contravention of s.88(3)(c) or (e)) of the Act;46
      1. (8) a contravention in respect of which the FCA is empowered to take action pursuant to section 89Q (Disciplinary powers: contravention of s.89P(4)(b) or (d)) of the Act;46
      1. (9) a contravention in respect of which the FCA is empowered to take action pursuant to section 192K (Power to impose penalty or issue censure) of the Act;46
      1. (10) a contravention in respect of which the FCA is empowered to take action pursuant to section 249 (Disciplinary measures) of the Act;46
      1. (11) a contravention in respect of which the FCA is empowered to take action pursuant to section 312E (Public censure) or section 312F (Financial penalties) of the Act; or46
      1. (12) a contravention in respect of which the FCA is empowered to take action pursuant to section 345 (Disciplinary measures: FCA) of the Act.46