The Financial Services and Markets Act 2000 (Transparency of Securities Financing Transactions and of Reuse) Regulations 2016, Section 17 is up to date with all changes known to be in force on or before 09 March 2025. 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.
17.—(1) If a regulator proposes to take action against a person under regulation 11(6), 14 or 15 it must give the person a warning notice.
(2) A warning notice about—
(a)a proposal to publish a statement must set out the terms of the proposed statement;
(b)a proposal to impose a penalty must state the amount of the penalty;
(c)a proposal to vary a temporary prohibition order must set out the terms of the variation.
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