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The Financial Services Act 2012 (Transitional Provisions) (Enforcement) Order 2013

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  1. Introductory Text

  2. PART 1 Introductory

    1. 1.Citation, commencement and interpretation

  3. PART 2 Controlled functions

    1. 2.Power to impose penalties

    2. 3.Disciplinary powers

  4. PART 3 Official listing

    1. 4.Disciplinary powers in respect of sponsors

  5. PART 4 Incoming firms: intervention

    1. 5.General grounds on which power of intervention is exercisable

    2. 6.Contravention by relevant EEA firm

    3. 7.Exercise of power in support of overseas regulator

    4. 8.Power to apply to court for injunction in respect of certain overseas insurance companies

    5. 9.Additional procedure for EEA firms in certain cases

    6. 10.Rescission and variation of requirements

  6. PART 5 Disciplinary measures

    1. 11.Disciplinary measures

  7. PART 6 Collective investment schemes

    1. 12.Disciplinary measures: auditors of unit trust schemes

  8. PART 7 Recognised investment exchanges and clearing houses

    1. 13.Disciplinary measures

  9. PART 8 Auditors and actuaries

    1. 14.Disciplinary measures: auditors and actuaries

  10. PART 9 Injunctions and restitution

    1. 15.Injunctions

    2. 16.Restitution orders

    3. 17.Power to require restitution

    4. 18.Injunctions and restitition in respect of certain post-commencement contraventions

  11. PART 10 Notices

    1. CHAPTER 1 Transfer elections

      1. 19.Warning notices

      2. 20.Written notices

      3. 21.Decision notices

      4. 22.Final notices

      5. 23.Suspension of permission to carry on regulated activities etc

      6. 24.Transfer elections

      7. 25.Effect of a transfer election

    2. CHAPTER 2 Notices under Part 4, sections 189, 191A, 197 and 321, and paragraph 19 of Schedule 3

      1. 26.Determination of applications under Part 4: warning notices given by the Authority

      2. 27.Determination of applications under Part 4: decision notices given by the Authority

      3. 28.Exercise of own-initiative power under Part 4: procedure

      4. 29.Cancellation of permission under Part 4: notices given by the Authority

      5. 30.Control over authorised persons

      6. 31.Variation or revocation of requirements imposed on former underwriting members

      7. 32.UK firm seeking to establish a branch

    3. CHAPTER 3 Publication of information concerning a warning notice

      1. 33.Publication

  12. PART 11 Offences

    1. 34.Proceedings for offences

  13. Signature

  14. Explanatory Note

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