熱門推薦罰單破解實戰交通警察名師 25 年經驗,親授警察臨檢、檢舉魔人、科技執法、車禍糾紛的執法邏輯看課程介紹
購物車我的課程我的書籤免費註冊
Financial Services and Markets Act 2000

Financial Services and Markets Act 2000 s 128

s 128 Suspension of investigations.

(1) If the FCA considers it desirable or expedient because of the exercise or possible exercise of a relevant power , it may direct a recognised investment exchange , recognised clearing house or recognised CSD — (a) to terminate, suspend or limit the scope of any inquiry which the exchange , clearing house or central securities depository is conducting under its rules; or (b) not to conduct an inquiry which the exchange , clearing house or central securities depository proposes to conduct under its rules. (2) A direction under this section— (a) must be given to the exchange , clearing house or central securities depository concerned by notice in writing; and (b) is enforceable, on the application of the FCA , by injunction or, in Scotland, by an order under section 45 of the Court of Session Act 1988. (3) In this section “relevant power” means the FCA’s power— (a) to impose a penalty or publish a statement of censure under section 123; (b) to impose a prohibition under section 123A; (c) to impose a suspension or restriction under section 123B; (d) to appoint a person to conduct an investigation under section 168 in a case falling within subsection (2)(d) of that section; or (e) to appoint a person to conduct an investigation under section 169 (investigation etc in support of an overseas regulator) in a case falling within subsection (2A) of that section.

Read this section in the full act → · Open its part →

Read the official text ↗

Contains public sector information licensed under the Open Government Licence v3.0.