Enforcement in focus
Investment scams
Latest news about scams and swindles as well as alerts about the most important issues facing consumers in the world of financial services.
Memorandum of understanding with police
Records the agreed best practice for co-operation between the ACPO and the FSA
Understanding the work of the Enforcement division
For more detail on specific areas please choose from the list below:
- The Enforcement Process Review
- The FSA and confidential information: why we sometimes seem secretive
- The Financial Services and Market Tribunal
- Mediation and the FSA
- Enforcing the Code of Market Conduct
- Policing the perimeter: investigation into firms operating illegally
- Enforcement in the civil and criminal courts
- Financial penalties since 2000
- Prosecuting Friendly Societies
- Working with our international colleagues
- The use of statutory powers in investigations
- The benefits for firms and individuals of co-operating with the FSA
- Discounts for early settlement
- Explaining private warnings
- Our approach for medium-sized and smaller firms
Enforcement procedures
We
have produced a leaflet about our enforcement procedures which includes
a flowchart showing the process of a typical FSA Enforcement case, which
could be brought against both regulated and non-regulated firms and individuals.