Part 3 Functions of the FCA in relation to proxy advisors

United Kingdom

1. 7Interpretation of Part
2. 8Functions of the FCA
3. 9Notice of inability or failure to comply with a relevant requirement
4. 10Complaints
5. 11Public censure
6. 12Financial penalties
7. 13Warning notice
8. 14Decision notice
9. 15Matters to which FCA must have regard in relation to imposition of penalties
10. 16Statement of policy on imposition of penalties
11. 17Statement of policy on imposition of penalties: procedure
12. 18Misleading the FCA
13. 19Restriction on penalties