FCA and PRA investigations, enforcement and discipline

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Practice notes
European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Orrick, Herrington & Sutcliffe 19th May
Practice notes
FCA: Treating Customers Fairly—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Collective investment schemes—essentialsThis Practice Note examines the definition of a collective investment scheme (CIS) and available exemptions,...
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19th May
Practice notes
Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent FCA and PRA investigations, enforcement and discipline content

Practice notes
Lexis®PSL Financial Services Enforcement DatabaseThe Lexis®PSL Financial Services Enforcement Database lists, and contains detailed information on,...
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2nd Aug
Practice notes
FCA enforcement essentials—financial penaltiesLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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1st Aug
Practice notes
Regulatory action against Senior ManagersLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 1st Aug
Practice notes
Getting the Deal Through: Government Investigations 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Greece;...
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31st Jul
Q&As
What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the...
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31st Jul
Practice notes
FCA enforcement essentials—enforcement processLexis®PSL Financial Services Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Alix Prentice & Wilson Antoon of King & Wood Mallesons 31st Jul
Q&As
If a client would like to voluntarily waive privilege in an investigation, what are the risks and how can they be mitigated?Ownership of...
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Produced in partnership with Jonathan Edwards of Radcliffe Chambers and Daniel Gill of Clarke Willmott 31st Jul
Practice notes
FCA prohibition ordersLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA...
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31st Jul
Practice notes
FCA and PRA search and seizure powers and dawn raidsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information...
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Produced in partnership with Sara Cody of Linklaters 31st Jul
Practice notes
Making a reference to the Upper Tribunal following an FCA decisionLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates...
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31st Jul
Practice notes
Use of attestations by the FCA and the PRALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Pan Papakyprianou, Associate of Linklaters LLP 31st Jul
Practice notes
Breach of the financial promotion restriction and enforceabilityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Practice notes
Unauthorised business and the approach to enforcement—civil proceedingsThe Financial Conduct Authority (FCA), the Bank of England (BoE) (including the...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 31st Jul
Practice notes
PRA enforcement essentials—suspensions, restrictions and financial penaltiesLexis®PSL Financial Services Enforcement Database: This incorporates...
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31st Jul
Practice notes
Injunctions and restitution under FSMA 2000In addition to their formal investigatory and enforcement powers, the Financial Conduct Authority (FCA) and...
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31st Jul
Practice notes
FCA enforcement essentials—partly contested casesLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on...
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Produced in partnership with Chloe Pawson Pounds of Brown Rudnick 31st Jul
Practice notes
FCA disciplinary and other enforcement action against firms—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This...
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31st Jul
Practice notes
Enforcement action for non-compliant financial promotionsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
FCA and PRA disclosure issues—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Brown Rudnick 31st Jul
Practice notes
FCA and PRA disclosure issues—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Brown Rudnick 31st Jul

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