4.1.3

The range of powers available to us includes the power to:

(a) require information or documents (FSMR section 201 and 206);
(b) require a firm to provide a report from a skilled person (FSMR section 203);
(c) impose requirements on a firm (FSMR section 35);
(d) issue a direction to a firm or an Affiliate for prudential purposes (FSMR section 202);
(e) impose conditions on an Approved Person on our own initiative (FSMR section 48); and
(f) suspend the Financial Services Permission of a firm (FSMR section 33).