Financial Services And Markets PART 1 Introductory provisions Citation and commencement 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Interpretation 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References to technical standards 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Designation of competent authorities 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 2 Disciplinary measures and procedures Temporary prohibition relating to management functions 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary prohibition relating to management functions: obligations on originator, sponsor or SSPE 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Public censure 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial penalties 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Statements of policy 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Statements of policy: procedure 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Restriction on penalties 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 3 CHAPTER 1 Third party verifiers Application for authorisation to provide a third party verification service 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Determination of an application for authorisation to provide a third party verification service 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary withdrawal of authorisation to provide a third party verification service 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary withdrawal of authorisation to provide a third party verification service: procedure 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cancellation of authorisation to provide a third party verification service on the initiative of the FCA 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cancellation of authorisation to provide a third party verification service at request of third party verifier 17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Register of third party verifiers 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 2 Warning notices and decision notices Warning notice 19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Decision notice 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 3 Temporary ban on STS notifications Imposition of a temporary ban 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Procedure for the imposition, variation or revocation of a temporary ban on STS notifications 22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 4 Right to refer to the Tribunal Right to refer a matter to the Tribunal 23 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 4 Miscellaneous provisions Consultation in relation to taking certain enforcement action 24 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Transparency requirements for originators, sponsors and SSPEs of private securitisations – power of direction 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Informing the FCA of STS notifications – power of direction 26 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Application of the Act and secondary legislation 27 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Minor and consequential amendments 28 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Review 29 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .