The Financial Services Enforcement Database incorporates detailed information on all substantive Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Final Notices and, where available, Decision Notices from 2014 onwards. The Database may be searched and filtered by fields including rule/legislation breach, keyword, sector, date, financial penalty, aspects of financial penalty analysis, outcomes including redress and prohibition orders, and other actions such as referrals to the Upper Tribunal.

This Practice Note considers applications to the Upper Tribunal (Tax and Chancery Chamber) under Rules 5, 10, 14 and 37 of the Tribunal Procedure (Upper Tribunal) Rules 2008, SI 2008/2698—eg applications for the suspension of the effect of the regulator’s decision, and applications relating to privacy, time extensions and costs, along with relevant case law.

For information on the law and procedure for making a reference to the Upper Tribunal following a disciplinary or non-disciplinary decision of the FCA or the PRA, see Practice Note: Financial services: references to the Upper Tribunal (Tax and Chancery Chamber). This also considers decisions relating to financial