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FCA disciplinary and other enforcement action against approved persons
FCA disciplinary and other enforcement action against approved persons

The following Financial Services practice note provides comprehensive and up to date legal information covering:

  • Prohibition orders and withdrawals of approval
  • Power to impose a financial penalty under FSMA 2000, s 63A
  • Disciplinary Powers: FSMA 2000, s 66
  • Other enforcement powers in relation to individuals
  • Private warnings

This content is no longer in use on Lexis®PSL

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