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...

Civil enforcement of unauthorised regulated activities in the UK: FCA/PRA powers for injunctions (s 380), restitution (s 382), asset freezes and insolvency petitions under FSMA 2000

Published by a LexisNexis Financial Services expert

Practice notes

The Financial Conduct Authority (fca), the Bank of England (BoE) — which includes the Prudential Regulation Authority (PRA) — (together, the regulators) can take steps against individuals and companies that carry on activities without proper authorisations. This Practice Note outlines the regulators’ approach to enforcement in respect of unauthorised business matters.

The general prohibition

The general prohibition lies at the core of the UK regulatory regime. In essence, any person providing financial services must hold the requisite authorisations and permissions to act lawfully. Since 2013, with the introduction of a UK regulatory structure covering the Bank of England (e.g. for recognised clearing houses), the PRA (which forms part of the BoE), and the FCA, firms are expected to consider whether authorisation is needed from multiple bodies. In theory, there remains substantial scope for firms to breach the requirement to be authorised unintentionally and to be without the correct Part 4A permissions. Accordingly, there is scope for inadvertent contravention by firms...

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Sarah Clarke , KC

Serjeants' Inn

Sarah spent the first ten years of her career at the self-employed Bar where she had a successful and advocacy heavy practice in general crime, fraud and confiscation.In 2005, Sarah joined the Enforcement Division of the Financial Services Authority ('FSA') initially on secondment and thereafter as a Technical Specialist and In-House Counsel in the newly formed Litigation Department.During her time at the FSA, Sarah advised on and conducted many of the FSA's high profile insider dealing prosecutions as well as regulatory and disciplinary proceedings before the Regulatory Decisions Committee ('RDC') and the Upper Tribunal. She conducted many of the FSA's early cases before the Financial Services and Markets Tribunal and advised on and conducted the FSA's first ever prosecution for misleading statements and breaches of the general prohibition.In October 2011, Sarah returned to private practice where she continues to be...

Web page updated on 21/05/2026

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