Enforcement

The FCA and PRA continue to focus on enforcement action as a means of delivering their credible deterrence agenda and educating the industry on how their principles and rules should operate in practice. Enforcement will continue to be a key regulatory tool for the delivery of the regulatory agenda across all parts of a firm’s business, infrastructure and people. In April 2016, the FCA consulted on the end to end enforcement process with the stated aim of improving transparency and efficiency, offering alternatives to settlement and penalty discounts.

This section of the microsite provides access to key publications and enforcement outcomes. We provide more detailed information about the regulatory investigation process on our Regulatory investigations page.

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Enforcement bites
Recent cases
Recent developments
External resources

This document (and any information accessed through links in this document) is provided for information purposes only and does not constitute legal advice. Professional legal advice should be obtained before taking or refraining from any action as a result of the contents of this document.