The following Financial Services practice note provides comprehensive and up to date legal information covering:
The Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and 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 2021 inclusive. It generally does not detail Warning Notices or Supervisory Notices.
The database does not include consumer credit cases, Payment Services Regulations cases, small business Threshold Conditions cases or applications and permissions cases. The Lexis®PSL Financial Services FCA/PRA Enforcement Database contains three tabs: the ‘UK enforcement database’ tab within which the list of cases sits, the ‘Keywords’ tab (see below), and the ‘Further resources’ tab (see below).
The Lexis®PSL Financial Services FCA/PRA Enforcement Database lists all the cases in chronological order, starting with the most recent case at the top (the date of the Decision or Final Notice is set out in Columns G and H). It sets out the following information for every case, where applicable:
notices and decisions (Column A): Link(s) to applicable Decision Notice or Final Notice
press release (Column B): Link(s) to applicable FCA/PRA press release
subject (Column C): Name of firm(s)/individual(s) named in the Decision/Final Notice
related notices (Column D): Where there are further Decision/Final Notices which directly relate to the case (for instance, where enforcement action has been taken against related firms and/or individuals in relation to the same breaches), the
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