Status: You are viewing the version of the handbook as on 2009-03-31.

breach

    27in DEPP:

      1. (1) misconduct in respect of which the FSA is empowered to take action pursuant to section 66 (Disciplinary powers) of the Act; or
      1. (2) a contravention in respect of which the FSA 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) behaviour amounting to market abuse, or to requiring or encouraging market abuse, in respect of which the FSA takes action pursuant to section 123 (Power to impose penalties in cases of market abuse) of the Act; or 27
      1. (5) a contravention of any directly applicable Community regulation made under MiFID. 27
      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; or
      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.