Financial Services Enforcement Database

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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

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Latest Financial Services News

Big Tech is major obstacle to stopping UK financial fraud

Law360, London: Anti-fraud campaigners are calling on the government to fine Big Tech companies such as Meta on repeated failures to prevent fraudulent financial advertising on their platforms with a tougher and wider regime than envisaged, with the consensus that social media is the biggest obstacle to combating investment scams.

Economic and Monetary Affairs Committee approves amendment to the CSDR—shortening the settlement cycle for transferable securities

The European Parliament’s Economic and Monetary Affairs Committee has approved an amendment to the Central Securities Depository Regulation (Regulation (EU) 909/2014) (CSDR) that shortens the settlement cycle for securities transactions on trading venues from two business days (T+2) to one business day (T+1). The Committee, which recorded 48 votes in favour and 4 abstentions, noted that the change would reduce risks and improve liquidity, while bringing EU practices into line with global standards. The amendment also allows for same-day settlements (T+0) when possible and exempts certain complex transactions from the T+1 rule. Furthermore, the European Securities and Markets Authority has been tasked with monitoring the transition and assessing the potential for future further shortening of the settlement cycle. These changes are set to take effect from 11 October 2027, subject to final negotiations with the Council.

FCA published 2024/25 Q4 authorisations operating service metrics

The Financial Conduct Authority (FCA) has published its 2024/25 Q4 authorisations operating service metrics for the period January–March 2025. The report indicates that 13 metrics are green, three are amber, and one is red. The red metric, which relates to a low-volume area, was due to a single application being determined after the statutory deadline. Overall, 99.1% of applications across all metric areas were determined within the statutory timeframe. The report covers solo-regulated firms. Metrics for dual-regulated firms are available on the Prudential Regulation Authority’s website. The FCA states that most applications are determined ahead of the statutory deadline, although some complex cases may require additional time. The FCA also notes a continued trend of incomplete and poor-quality applications, particularly in the cryptoasset sector. It refers firms to its Authorisation pages for guidance, including a sample business plan, examples of good applications, and common pitfalls to avoid.

Financial Services—other developments (21/5/2025)

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.

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News
Practice notes
Precedents
Q&As

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