FCA Enforcement Action: Lessons Learnt
Refreshed July 2023 | CPD time: 1 Hour 30 Minutes
The Financial Conduct Authority (FCA) has wide-ranging powers to impose financial, and other, penalties on both firms and individuals. This module provides an overview of the FCA’s approach to enforcement. It reviews a selection of recent enforcement cases, and draws out the principal lessons which can be learnt from these cases.
1. Enforcement Powers and Approach
2. Recent Cases – Firms
3. Recent Cases – Individuals
4. Lessons Learnt
Module Test