FCA investigations, enforcement and discipline

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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.

Introduction to FCA enforcement

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).

FCA enforcement tools and process—one minute guides

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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