Enforcement: preventing a referral to enforcement

This practice note considers the key notification requirements imposed by the FCA on authorised firms and the supervisory and thematic visits the FCA carries out, together with some suggested actions that might be taken, in consultation with the FCA, to avoid a referral to the FCA's Enforcement and Market Oversight division. 


 

The full text of this resource is available by logging in or by requesting a trial. If you have any questions, please contact us or your Practical Law Account Executive.

Free trial

A free trial will give you:

Unlimited access to our online legal know-how services during the trial period
Full training and support
Four issues of Practical Law The Journal, the companion to Practical Law online
Weekly update e-mails on current legal developments in your practice area
 

Login

Subscribers and trialists can login below

Contact Us

If you need assistance logging in or have any questions about our services, please contact us.

{ "siteName" : "PLC", "objType" : "PLC_Doc_C", "objID" : "1247269029875", "objName" : "Enforcement preventing a referral to enforcement", "userID" : "2", "objUrl" : "http://us.practicallaw.com/cs/Satellite/us/resource/9-386-8507?source=relatedcontent", "pageType" : "Resource", "academicUserID" : "", "contentAccessed" : "false", "analyticsPermCookie" : "2-5ceb786c:152d00d0938:-524b", "analyticsSessionCookie" : "2-5ceb786c:152d00d0938:-524a", "statisticSensorPath" : "http://analytics.practicallaw.com/sensor/statistic" }