Authors: Robert Falkner

Reed Smith’s Financial Markets and Regulatory Group is delighted to announce the creation of its Enforcement Notice Database. This Database, which has been created from an extensive review of Financial Conduct Authority (FCA) final notices, allows us to quickly produce insight and analysis of enforcement trends, which we can then share with our clients through regular briefing notes. The notes will analyse the statistics and will help identify patterns on enforcement, and to track the changing approach of the FCA in relation to different offences.

The focus of the FCA on penalties (prohibition orders and fines) against individuals (Approved Persons) is intensifying, with particular regard to senior managers. In light of this, the material in this first note provides a high-level analysis of trends with respect to FCA enforcement action against individuals.

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