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 enforcement under FSMA 2000: unauthorised business and unlawful promotions - UK civil and criminal powers, unenforceability, 'knowingly concerned' liability, CIS/boiler-room risks, and due diligence/Warning List checks

Published by a LexisNexis Financial Services expert

Practice notes

Overview

The Financial Services and Markets Act 2000 (FSMA 2000) bars anyone from conducting a regulated activity in the UK unless they hold authorisation or are an exempt person; this is commonly called the general prohibition. A regulated activity means an activity of a specified type (namely, one identified in the FSMA 2000 (Regulated Activities) Order 2001, SI 2001/544) carried on by way of business in the UK. Breaching the general prohibition is a criminal offence, attracting a fine or imprisonment. This Practice Note sets out how the Financial Conduct Authority (FCA) acts against unauthorised business. Further material on unauthorised business is available in Practice Note: Unauthorised business—legal and regulatory framework. Key points include:

the FCA’s supervision and Enforcement functions focus on disrupting unauthorised firms and individuals seeking to defraud customers and on warning customers
the FCA’s Warning List—a list of firms not authorised or registered by the FCA and which the FCA knows are operating without permission or running scams—is a vital tool for both consumers and firms
the FCA has urged financial services firms to implement more intrusive due diligence when such firms...

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Web page updated on 21/05/2026

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