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.
What to do about it
- 1Note which authorities hold this power over you.
- 2Weight the obligations behind it by the consequence it carries.
- 3Prepare evidence before you are asked for it.
From requirement to evidence.
Restrictions are tracked as obligations with conditions for lifting them.
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