FCA enforcement

FCA enforcement guidance:

Deferred Prosecution Agreement A Deferred Prosecution Agreement (DPA) is an agreement between a prosecutor and an organisation facing prosecution for an alleged economic...

Practice Note

FCA approach on the supervision of financial promotion This Practice Note provides information on how the Financial Conduct Authority (FCA) ensures that financial...

Practice Note

The Financial Services and Markets Act 2000 (FSMA 2000) provides the Financial Conduct Authority (FCA) with a wide variety of possible actions against firms, which are...

Practice Note

Once the Financial Conduct Authority (FCA) investigators have: • completed their investigation (including producing a Preliminary Investigation Report and taking into...

Practice Note

This Practice Note explains the initial stages and investigative steps in the Financial Conduct Authority’s (FCA) enforcement process once a breach has been identified....

Practice Note

The role of the FCA The Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a wide-ranging brief to: •...

Practice Note

The FCA's powers as part of the new regulatory arrangements BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with...

Practice Note

What is LIBOR? LIBOR stands for the London Inter-Bank Offered Rate. It is the world’s most widely used benchmark for short-term interest rates. LIBOR was historically...

Practice Note

What is the Upper Tribunal (Tax and Chancery Chamber)? The Upper Tribunal is an appellate tribunal created by the Tribunals, Courts and Enforcement Act 2007. The Tax and...

Practice Note

In addition to powers granted under the Financial Services and Markets Act 2000 (FSMA 2000), the Financial Conduct Authority (FCA) and the Prudential Regulation Authority...

Practice Note

Restrictions on unauthorised business The Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from carrying on a regulated activity in the UK unless...

Practice Note
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