This Overview is a guide to the Lexis+® UK Financial Services content within the ‘FCA investigations, enforcement and discipline’ subtopic, with links to appropriate materials.
For an introduction to Financial Conduct Authority (FCA) discipline and enforcement, including when and why the FCA uses its formal enforcement powers, see Practice Note: Introduction to FCA enforcement—approach, priorities and the Enforcement Guide (ENFG). This considers the FCA’s use of enforcement to address serious misconduct, promote deterrence and drive behavioural change. It also considers the role of assertive supervision, the circumstances in which enforcement action is likely to be pursued and the significance of the Enforcement Guide (ENFG).
Practice Note: FCA disciplinary and other enforcement action against firms—one minute guide provides an overview of the FCA’s disciplinary and enforcement tools against firms. It considers the FCA’s powers under the Financial Services and Markets Act 2000 (FSMA 2000) to impose financial penalties, public censures and suspension of, or restrictions on, permissions. It also gives a brief overview of further enforcement, civil, criminal and supervisory...
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A round-up of financial services developments, including (among other things) FSB reviews public sector backstop funding mechanisms....
A round-up of financial services developments, including (among other things) ESMA sets out supervisory expectations on unauthorised stablecoins....
The Court of Appeal has overturned the convictions of Jonathan Mathew, Jay Merchant, Alex Pabon, Philippe Moryoussef, Colin Bermingham and Christian...
This week's edition of Financial Services weekly highlights includes: FCA consults on preparations for new transaction reporting regime; ESMA...
What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a
If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some point
Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application
Glossary—Latin legal termsDespite attempts in recent years to simplify the language used in legal cases, there are still a number of Latin phrases commonly used in personal injury claims. The following Latin phrases are listed in alphabetical order:Latin termDefinitionMeaningActa iure imperiiLegal
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