FCA and PRA investigations, enforcement and discipline

FCA and PRA investigations, enforcement and discipline guidance:

Decision making committees Decisions as to whether to give a statutory notice will be taken by an appropriate decision making committee (DMC). There are four levels of...

Practice Note

Settlement decision making procedure Like the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) has a formal settlement process for enforcement...

Practice Note

In the UK, the regulation of the financial services sector is conducted by two separate regulators, the Financial Conduct Authority (FCA) and the Prudential Regulation...

Practice Note

Disciplinary powers of the FCA The disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and Markets Act 2000 (FSMA...

Practice Note

Publicity during FCA investigations The Financial Conduct Authority (FCA) do not normally comment on whether they are investigating an issue. They may, if appropriate,...

Practice Note
Trending Topics
In-House COVID-19