1. Introductory Text

  2. PART 1 Introductory provisions

    1. 1.Citation and commencement

    2. 2.Interpretation

    3. 3.References to technical standards

    4. 4.Designation of competent authorities

  3. PART 2 Disciplinary measures and procedures

    1. 5.Temporary prohibition relating to management functions

    2. 6.Temporary prohibition relating to management functions: obligations on originator, sponsor or SSPE

    3. 7.Public censure

    4. 8.Financial penalties

    5. 9.Statements of policy

    6. 10.Statements of policy: procedure

    7. 11.Restriction on penalties

  4. PART 3

    1. CHAPTER 1 Third party verifiers

      1. 12.Application for authorisation to provide a third party verification service

      2. 13.Determination of an application for authorisation to provide a third party verification service

      3. 14.Temporary withdrawal of authorisation to provide a third party verification service

      4. 15.Temporary withdrawal of authorisation to provide a third party verification service: procedure

      5. 16.Cancellation of authorisation to provide a third party verification service on the initiative of the FCA

      6. 17.Cancellation of authorisation to provide a third party verification service at request of third party verifier

      7. 18.Register of third party verifiers

    2. CHAPTER 2 Warning notices and decision notices

      1. 19.Warning notice

      2. 20.Decision notice

    3. CHAPTER 3 Temporary ban on STS notifications

      1. 21.Imposition of a temporary ban

      2. 22.Procedure for the imposition, variation or revocation of a temporary ban on STS notifications

    4. CHAPTER 4 Right to refer to the Tribunal

      1. 23.Right to refer a matter to the Tribunal

  5. PART 4 Miscellaneous provisions

    1. 24.Consultation in relation to taking certain enforcement action

    2. 25.Transparency requirements for originators, sponsors and SSPEs of private securitisations – power of direction

    3. 26.Informing the FCA of STS notifications – power of direction

    4. 27.Application of the Act and secondary legislation

    5. 28.Minor and consequential amendments

    6. 29.Review

  6. Signature

    1. SCHEDULE 1

      Application and modification of the Act and secondary legislation

      1. 1.Disciplinary powers

      2. 2.The Tribunal

      3. 3.Information gathering and investigations

      4. 4.Disciplinary powers under Part 14

      5. 5.Restrictions on disclosure of information

      6. 6.Injunctions and restitution

      7. 7.Notices

      8. 8.Offences

      9. 9.Limitation on powers to require documents

      10. 10.Consultation in relation to taking certain enforcement action

      11. 11.Penalties and fees

      12. 12.(1) Paragraphs 27 to 31 of Schedule 1ZB to the...

      13. 13.Exemption from liability in damages

      14. 14.The functions of the PRA under these Regulations and its...

      15. 15.The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001

      16. 16.The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013

    2. SCHEDULE 2

      Minor and consequential amendments to primary and secondary legislation

      1. 1.The Act

      2. 2.The Financial Services and Markets Act (Regulated Activities) Order 2001

      3. 3.The Payment to Treasury of Penalties (Enforcement Costs) Order 2013

      4. 4.The Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013

      5. 5.The Financial Services Act 2012 (Relevant Functions in relation to Complaints Scheme) Order 2014

      6. 6.The Public Interest Disclosure (Prescribed Persons) Order 2014

  8. Explanatory Note