- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (13/01/2018)
- Gwreiddiol (Fel y'i Deddfwyd)
Financial Services and Markets Act 2000
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Rhagor o Adnoddau
Changes over time for: Section 123
Version Superseded: 27/02/2018
Alternative versions:
Status:
Point in time view as at 13/01/2018. This version of this provision has been superseded.
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Financial Services and Markets Act 2000, Section 123 is up to date with all changes known to be in force on or before 09 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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[F1123 Power to impose penalties or issue censureU.K.
This
adran has no associated
Nodiadau Esboniadol
(1)The FCA may exercise its power under subsection (2) if it is satisfied that—
(a)a person has contravened Article 14 (prohibition of insider dealing and of unlawful disclosure of inside information) or Article 15 (prohibition of market manipulation) of the market abuse regulation;
(b)a person has contravened, or been knowingly concerned in the contravention of—
(i)a provision of the market abuse regulation other than Article 14 or 15 of that regulation; or
(ii)a provision of a supplementary EU regulation; or
(c)a person other than an authorised person has contravened any requirement—
(i)imposed on that person under section 122A, 122B, 122C, 122G, 122H, 122I, [F2122IA,] 123A or 123B; or
(ii)relating to the market abuse regulation or any supplementary EU regulation imposed on that person under Part 11.
(2)The FCA’s power under this subsection is a power to impose a penalty of such amount as it considers appropriate on the person.
(3)The FCA may, instead of imposing a penalty on a person, publish a statement censuring the person.]
Textual Amendments
F1Ss. 123-123C and cross-heading substituted for s. 123 and cross-heading (3.7.2016) by The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (S.I. 2016/680), regs. 1, 9(5)
F2Word in s. 123(1)(c)(i) inserted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 2 para. 12 (with reg. 7)
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