Lexis®PSL Financial Services Enforcement Database

The following Financial Services practice note provides comprehensive and up to date legal information covering:

  • Lexis®PSL Financial Services Enforcement Database
  • Enforcement Database key content
  • Conducting searches within the Enforcement Database

Lexis®PSL Financial Services Enforcement Database

The Lexis®PSL Financial Services 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. It also includes any Decision Notices issued by the Payment Systems Regulator (PSR).

The database does not include Payment Services Regulations cases, small business Threshold Conditions cases, applications and permissions cases or, in general, consumer credit cases (although it does include those cases of interest in the consumer credit sector which involve very large fines of firms or the prohibition of an individual). The Lexis®PSL Financial Services 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).

Enforcement Database key content

The Lexis®PSL Financial Services 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:

  1. notices and decisions (Column A): Link(s) to applicable Decision Notice or Final Notice

  2. press release (Column B): Link(s) to applicable FCA/PRA/PSR press release

  3. subject (Column C): Name of firm(s)/individual(s)

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