FCA and PRA investigations, enforcement and discipline

This overview is a guide to the Lexis+® UK Financial Services content within the 'FCA and PRA investigations, enforcement and discipline' subtopic, with links to appropriate materials.

Stop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement Guide (ENFG), which replaces the previous Enforcement Guide (EG) from 3 June 2025. This Practice Note is being updated to take account of this change. For further information, see: FCA publishes new Enforcement Guide, LNB News 03/06/2025 30.

Background to enforcement

The Financial Conduct Authority (FCA) is the UK’s regulator of conduct in retail and wholesale markets, supervises the trading infrastructure behind those markets and oversees prudential regulation of firms not prudentially regulated by the Prudential Regulation Authority (PRA). The FCA is responsible for the regulation of conduct across the financial services sector, in firms and markets of all sizes and in all sectors of the industry. Its responsibility spans wholesale and retail conduct, market integrity, protection of client assets and prevention of financial crime. Its wide-ranging remit means that it must respond to a range of issues which

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