Regulatory powers

Restriction

A limit placed on what a firm or person may do, such as activity limits, growth caps or bans on new business.

Overview

Restrictions can be imposed as enforcement outcomes or supervisory measures: limits on growth, product lines, customer onboarding or participation in a market.

It connects most directly to Licence revocation, Enforcement action and Self-regulatory organisation.

Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.

Why it matters

A restriction can cost more in lost business than any fine.

Who it affects

Banks, fintechs, broker-dealers and licensed firms.

Connections

The terms most closely tied to Restriction. Select one to open it.

This term

What to do about it

  1. 1Note which authorities hold this power over you.
  2. 2Weight the obligations behind it by the consequence it carries.
  3. 3Prepare evidence before you are asked for it.
In Regulation Layer

From requirement to evidence.

Restrictions are tracked as obligations with conditions for lifting them.

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