Enforcement: disciplinary sanctions (FSA: superseded with effect from 1 April 2013)

The FSA uses disciplinary sanctions as tools to help it to achieve its statutory objectives, notably by promoting high standards of regulatory and market conduct. This practice note outlines the various disciplinary sanctions which the FSA may impose on a firm or an individual in the event of a breach or misconduct.

This practice note is part of a practical guide to the FSA enforcement process, written by PLC Financial Services. For an index to the FSA enforcement process practical guide, see Practice note, A practical guide to the FSA enforcement process: index.

PLC Financial Services


 

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