SRA Handbook

Scope

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Version 9 of the Handbook was published on 01/04/2014. For more information, please click 'History' Above

Rule 2: Scope

2.1

These rules govern the procedure for the SRA to:

(a)

give a regulated person a written rebuke;

(b)

direct a regulated person to pay a penalty;

(c)

publish details of a written rebuke or a direction to pay a penalty;

(d)

disqualify a person from acting as a HOLP or HOFA, or being a manager or employee; and

(e)

make an application to the Tribunal.

2.2

These rules shall not prevent, prohibit or restrict the exercise of any other powers or other action by the SRA.