| Link(s): | Enforcement Information Guide PS25/5: Our Enforcement Guide and greater transparency of our enforcement investigations | FCA ENFG.pdf |
Context
Following the recent publication of the FCA’s new Enforcement Guide (as part of the Handbook), the FCA has now published an Enforcement Information Guide. No related FCA website pages appear to have been updated in relation to this Enforcement Information Guide. This guide explains the FCA’s regulatory enforcement process. More detail is given in the guidance in the Handbook and regulatory guides, in particular the Decision Procedure and Penalties manual (DEPP) and the Enforcement Guide (ENFG).
Key points to note and next actions
The new Guide sets out:
- the FCA’s general enforcement powers;
- the enforcement process for regulatory cases;
- the concept of early resolution;
- the FCA’s ‘discount scheme’;
- details of the ‘decision makers’;
- upper tribunal referrals and mediation; and
- publicity.