Professional Refresher

FCA Enforcement Action: Lessons Learnt
Refreshed July 2022 | CPD time: 1.50
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
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2. Recent Cases – Firms
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3. Recent Cases – Individuals
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4. Lessons Learnt
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Module Test
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