Jurisdiction(s):
United Kingdom

Related legal acts

Key definition

FCA definition

What does FCA mean? In legal practice, FCA means the UK financial conduct authority, the conduct regulator for most financial services firms and markets. It sets and enforces conduct standards (including the Consumer Duty), authorises firms and individuals, and oversees markets so they function well for consumers and market integrity. Created by the Financial Services Act 2012 and exercising powers under the Financial Services and Markets Act 2000 (FSMA), the FCA replaced the FSA in 2013. It makes rules in the FCA Handbook, polices financial promotions (FSMA s.21), supervises firms, and uses extensive enforcement powers. The FCA is the UK competent authority...

FSMA 2000 s 177: Offences and contempt for non-compliance in FCA investigations—false or misleading information, document destruction, and obstructing search warrants

Published by a LexisNexis Financial Services expert

Practice notes

The Financial Services enforcement database brings together comprehensive details on all substantive fca and pra Final Notices and, where available, Decision Notices, from 2014 onwards. Searches can be run and narrowed by a range of fields, including:

rule/legislation breach
keyword such as ‘Open and cooperative’
sector
date
financial penalty
aspects of financial penalty analysis
outcomes including redress and prohibition orders
other actions such as referrals to the Upper Tribunal

Non-compliance with a requirement under Part XI of the Financial Services and Markets Act 2000 (FSMA 2000)—for instance, failing to supply documents or information, or supplying false information—can have serious consequences. The process for addressing such non-compliance during a Financial Conduct Authority (FCA) investigation is set out in FSMA 2000, s 177.

Failure to comply with an FCA information or document requirement

The FCA’s statutory powers to compel information from those under investigation, or from third parties, are described in Practice Note: FCA enforcement essentials—investigations—Powers of FCA investigators to request information...

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Niall Hearty

Rahman Ravelli

Niall is known for his in-depth corporate crime expertise. That expertise is reflected in his achievements to date and the demand for his services.Niall’s ability, backed with his experience of running a City firm’s business crime and fraud department, has helped make him a logical choice to lead complex and multi-jurisdictional investigations. His knowledge of cross-border and global business crime cases and the successes he has obtained for clients mean he has an impressive track record and have led to him being highlighted in The Legal 500 international legal guide, which has called him a “rock solid performer’’ and “outstanding’’. The 2024 edition of The Legal 500 says “Niall Hearty is both client-focused and an outstanding lawyer, tactically astute.’’ His skill in coordinating bribery and corruption cases that span the globe, his achievements in cases involving agencies such as the Financial Conduct...

Web page updated on 21/05/2026

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