Jurisdiction(s):
United Kingdom

Related legal acts

Key definition

Enforcement definition

What does Enforcement mean? Enforcement is the practical process of making a court order, judgment, decree or arbitral award take effect when the party bound has not complied by the deadline. It involves applying for, and using, court-sanctioned measures to secure compliance or recover sums due, including where permission is required. The term is descriptive rather than a single statutory definition; the available remedies depend on the jurisdiction and the nature of the order. England and Wales: governed mainly by CPR Parts 70–73, including writ/warrant of control, third party debt orders, charging orders (and orders for sale), attachment of earnings, possession and delivery up, appointment...

FCA/PRA breach management: UK lawyers’ guide to detection, mandatory notifications (SUP 15.3/Principle 11), SM&CR duties, investigations, evidence preservation, redress and PR—minimising enforcement referrals

Published by a LexisNexis Financial Services expert

Practice notes

The Financial Services enforcement Database

The Financial Services Enforcement Database holds detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices issued from 2014 onwards. It can be queried and refined across multiple fields.

Rule or legislation breached
keyword and sector
Date
Financial penalty and analysis of penalty components
Outcomes, including redress and prohibition orders
Other actions, such as referrals to the Upper Tribunal

In the UK, oversight of financial services is carried out by two distinct regulators, the financial conduct authority (FCA) and the Prudential Regulation Authority (PRA), each with enforcement powers. The FCA operates a judgement-based as well as risk-based model, evaluating a firm’s position in the wider market to place investor interests at the heart of business models, while also delivering an appropriate level of consumer protection. The FCA’s primary objective is that UK financial markets function effectively. The PRA’s aim is to secure the safety and soundness of PRA-authorised firms, and to uphold the stability of the UK financial system. FCA- and PRA-authorised firms should understand the best way to deal with...

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Vaibhav Adlakha

Reed Smith LLP

Vaibhav is an extremely motivated multi-lingual legal professional with a passion for international and business issues. After finishing schooling (2004) from The American School of The Hague, he completed his university studies from Warwick University (2007) and BPP Law School (2008) in the UK. He also did an Advanced Masters in Air and Space Law from Leiden University in the Netherlands (2010). From 2010 ' 2014, he worked with the Netherlands Competition Authorities, Unilever, the Dutch Ministry of Infrastructure and Environment, HiiL Innovating Justice and Global Human Rights Defence. He joined Reed Smith LLP as a Trainee Solicitor in August 2016. During training he worked in Shipping Admiralty, Banking and Finance, EU Competition, and Financial Regulation. In September 2018, he qualified as an Associate in the EU Competition department, handling Public Procurement, State Aid as well as some Financial Regulation issues among others. His...

Romin Dabir

Reed Smith LLP

Romin Dabir is a partner in Reed Smith’s Financial Industry Group and has experience of advising clients on a wide range of financial regulatory issues on both the sell-side and the buy-side. Areas of focus include interpretation of the Financial Services and Markets Act 2000 (and its underlying legislation), regulatory perimeter issues, governance, market abuse, conduct of business, marketing and distribution requirements....

Web page updated on 21/05/2026

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