Enforcement: preventing a referral to enforcement

Resource type: Practice note

Status: Maintained

Jurisdiction: United Kingdom

This practice note considers the key notification requirements to which FCA authorised persons are subject and the supervisory and thematic visits which the FCA carries out. It outlines the action which an authorised person can take, in consultation with the FCA, to seek to avoid a referral to the FCA's Enforcement and Financial Crime division in relation to any identified concerns. Although this practice note refers throughout to firms, it is also relevant to individuals authorised under the Financial Services and Markets Act 2000 (FSMA).

This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index.

PLC Financial Services

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  • Resource ID: 9-386-8507
  • Products:  PLC UK Dispute Resolution, PLC UK Financial Services
  • This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.
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