FCA enforcement essentials—investigations

Published by a LexisNexis Financial Services expert
Practice notes

FCA enforcement essentials—investigations

Published by a LexisNexis Financial Services expert

Practice notes
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Lexis+® UK Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 onwards. The Database, available here, may be searched and filtered by rule breach, keyword, sector, date, seriousness, aggravating and mitigating factors, financial penalty, and other actions such as referrals to the Upper Tribunal.

Note: In February 2024, the FCA published consultation paper CP24/2: Our Enforcement Guide and publicising enforcement investigations - a new approach. If the FCA’s proposals are implemented, this Practice Note will be impacted. For further information and links to news analysis, see Practice Note: FCA enforcement essentials—publicity — FCA CP24/2—a new approach to the Enforcement Guide and publicising enforcement investigations.

This Practice Note addresses:

  1. the Financial Conduct Authority’s (FCA) enforcement priorities

  2. the FCA’s enforcement toolkit

  3. statistical data on FCA investigations

  4. the FCA’s approach to opening an enforcement investigation

  5. the initial stages and investigative steps in the FCA’s enforcement process once a breach has been identified

  6. the investigative process from the referral of a suspected breach to the

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Jurisdiction(s):
United Kingdom
Key definition:
Enforcement definition
What does Enforcement mean?

The action of compelling a party to comply with a judgment where it has not been complied with voluntarily and the time ordered for compliance has expired.

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