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

UK insurers post leadership diversity gains

Law360, London: An insurance industry trade body said on 9 December 2024 that the sector increased its senior management-level representation of women last in 2023 to 33%—but is still falling behind UK corporate averages.

ESAs issue joint final Guidelines on regulatory classification of cryptoassets under MiCAR

The three European Supervisory Authorities (the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority—ESAs) have published joint final Guidelines aimed at promoting consistency in the regulatory classification of crypto-assets pursuant to Article 97(1) of the Markets in Crypto-assets Regulation (MiCAR). The Guidelines will take effect three months after their publication in all the official EU languages on the ESAs’ websites. This development follows the entry into application of MiCAR regimes for asset-referenced tokens and electronic money tokens in June 2024, with remaining provisions on other cryptoassets and service provision set to apply from 30 December 2024.

FOS reports on service improvements and challenges in 2023/2024 annual report

The Financial Ombudsman Service's (FOS) has published its Annual Report and Accounts for 2023/2024 providing an overview of the organisation's activities, financial performance, and strategic priorities. The report outlines the service's operational performance, including the volume of cases handled, the quality of service, and the timeliness of resolutions.

Financial Services—other developments (10/12/2024)

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.

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

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