Financial Services Enforcement Database

Copyright © 2025 LexisNexis

The Financial Services Enforcement Database is a powerful tool which enables users to locate, analyse and compare data in relation to UK financial services enforcement cases quickly and easily. It contains detailed information on all substantive Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Final Notices and, where available, Decision Notices from 2014 to the present. It also includes Decision Notices issued by the Payment Systems Regulator (PSR).

To access the Financial Services Enforcement Database, click here. More information on how to use the Database is provided in that document. If you have any questions or would like a demo or training on the Database, please contact us at lexispslfinancialservices@lexisnexis.co.uk.

Using the Enforcement Database, users can conduct targeted searches across hundreds of UK enforcement cases. They can filter results by multiple criteria such as rule breach, sector, keywords, relevant period, seriousness factors, aggravating and mitigating factors, settlement discounts, and financial and non-financial penalties. The Database provides comprehensive summaries of each Decision or Final Notice and enables users to view the Notices themselves as well as any press releases issued by the regulator with respect

To view the latest version of this document and thousands of others like it, sign-in with LexisNexis or register for a free trial.

Existing user? Sign-in TAKE A FREE TRIAL
Powered by Lexis+®
Latest Financial Services News

FCDO announces sanctions against Russian GRU units and officers for cyber attacks

The Foreign, Commonwealth and Development Office (FCDO) has imposed sanctions on three units of Russia's Main Intelligence Directorate (GRU) and 18 military intelligence officers. The measures target units responsible for cyber operations against UK infrastructure and the 2022 Mariupol Theatre bombing. The sanctions package includes restrictions on GRU Unit 26165, which conducted reconnaissance for missile strikes, and officers linked to the 2018 Salisbury poisonings. Additional sanctions target three leaders of 'African Initiative' for conducting Russian-backed disinformation campaigns in West Africa.

PRA sets out CRR and Solvency II requirements, and approach to Own Funds (CRR) waivers and permissions

The Prudential Regulation Authority (PRA) has published policy statement PS12/25—Restatement of CRR and Solvency II requirements in PRA Rulebook—2026 implementation. The PRA has also published a statement of policy (SoP) on its approach to considering applications from PRA-authorised persons not to apply rules, or to apply them with modifications, under section 138BA of the Financial Services and Markets Act 2000 (FSMA).

Financial Services—other developments (18/7/2025)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

ESMA updates Q&As on MiCA and UCITS Directive

The European Securities and Markets Authority (ESMA) has published updated questions and answers (Q&As) on the Markets in Cryptoassets Regulation (Regulation (EU) 2023/1114) (MiCA) and the Undertakings for Collective Investment in Transferable Securities Directive (Directive 2009/65/EC) (UCITS). The impacted MiCA Q&As are: (1) ‘Staking on own account’ and (2) ‘Pre-funding clients’ orders with clients’ cryptoassets’. The impacted UCITS Directive Q&A is ‘Performance fees for feeder funds’.

View Financial Services by content type :  
News
Practice notes
Precedents
Q&As

Popular documents

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

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

If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal

If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal fees, will that count as a PET against their estate?A disclaimer is the refusal of a gift prior to acceptance. The refusal of the gift must take place before the beneficiary accepts any benefit

Glossary—Latin legal terms

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
Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

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

If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal

If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal

If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal fees, will that count as a PET against their estate?A disclaimer is the refusal of a gift prior to acceptance. The refusal of the gift must take place before the beneficiary accepts any benefit

Glossary—Latin legal terms

Glossary—Latin legal terms

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