CHAPTER VADMINISTRATIVE PENALTIES AND OTHER MEASURES

F1Article 22

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F1Article 23

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F1Article 24

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F1Article 25

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F1Article 26

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F1Article 27

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F1Article 28

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Article 29

1.

A decision, against which there is no appeal, imposing an administrative sanction or measure for infringements F2of Articles 5(1), 6, 7, 8(1), (2) or (3), 9, 10(1), 13(1), (3) or (4), 14 or 19 shall be published by F3the FCA on its official website without undue delay after the person on whom the sanction or measure was imposed has been informed of that decision.

The publication shall include at least the following information:

(a)

the type and nature of the infringement;

(b)

the identity of the persons responsible.

That obligation does not apply to decisions imposing measures that are of an investigatory nature.

Where the publication of the identity of the legal entities, or identity or personal data of natural persons, is considered by the F4FCA to be disproportionate following a case-by-case assessment conducted on the proportionality of the publication of such data, or where such publication would jeopardise the stability of financial markets or an ongoing investigation, the F5FCA must:

(a)

delay the publication of the decision to impose a sanction or a measure until the moment where the reasons for non-publication cease to exist;

(b)

publish the decision to impose a sanction or a measure on an anonymous basis in a manner which complies with F6the law of the United Kingdom or any part of the United Kingdom, if such anonymous publication ensures an effective protection of the personal data concerned; or

(c)

not publish the decision to impose a sanction or measure in the event that the options laid down in points (a) and (b) are considered to be insufficient to ensure:

  1. (i)

    that the stability of financial markets would not be put in jeopardy;

  2. (ii)

    the proportionality of the publication of such decisions with regard to measures which are deemed to be of a minor nature.

2.

F7...

In the case of a decision to publish a sanction or measure on an anonymous basis the publication of the relevant data may be postponed for a reasonable period of time if it is envisaged that within that period the reasons for anonymous publication will cease to exist.

3.

Where F8the law of the United Kingdom or any part of the United Kingdom provides for the publication of the decision to impose a sanction or measure which is subject to an appeal before the relevant judicial or other authorities, the F9FCA shall publish on F10the FCA's official website, without undue delay, such information and any subsequent information on the outcome of such appeal. Moreover, any decision annulling a previous decision to impose a sanction or a measure which has been published shall also be published.

4.

F11The FCA shall ensure that any publication, in accordance with this Article, shall remain on F12the FCA's official website for a period of at least five years after its publication. Personal data contained in the publication shall be kept on the F13FCA's official website only for the period which is necessary in accordance with the applicable data protection rules.