Status: You are viewing the version of the handbook as on 2016-02-03.

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. (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) behaviour amounting to market abuse, or to requiring or encouraging market abuse, in respect of which the46 FCA 46 takes action pursuant to section 123 (Power to impose penalties in cases of market abuse) of the Act; 37 27
      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