FCA disciplinary and other enforcement action against firms—one minute guide

Copyright © 2025 LexisNexis
Published by a LexisNexis Financial Services expert
Practice notes

FCA disciplinary and other enforcement action against firms—one minute guide

Copyright © 2025 LexisNexis

Published by a LexisNexis Financial Services expert

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

This Practice Note provides an overview of the FCA’s Disciplinary and enforcement tools against firms. It considers powers of the Financial Conduct Authority (FCA) under the Financial Services and Markets Act 2000 (FSMA 2000) including disciplinary sanctions, such as financial penalties, public censures and suspension of (or restrictions on) permissions and supervisory interventions such as own initiative variation or requirement powers (Own Initiative Variation (OIVOPs) and Own Initiative Requirement (OIREQs)). It also provides information on non—statutory enforcement tools such as private warnings.

Discipline and enforcement play key roles in delivering the FCA’s objectives, including its operational objectives of securing an appropriate degree of protection for consumers, protecting and enhancing the integrity of the UK

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Jurisdiction(s):
United Kingdom
Related legal acts:
Key definition:
FCA definition
What does FCA mean?

conduct-authority'>financial conduct authority which succeeded the FSA and is responsible for ensuring the relevant markets function well, for the conduct supervision of firms not supervised by the Prudential Regulation authority, protecting consumers and promoting competition

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