ES-1.17.1

Past version: Effective from 18 Jul 2025 to 30 Jun 2007
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This Module outlines enforcement powers and processes that may be applied by the BMA to address failures by investment firm licensees, approved persons or registered persons. The purpose of such measures is to encourage a high standard of compliance by all those authorised by the BMA, thus reducing risk to licensees' clients, counterparties and the financial system.