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...

Criminal enforcement of unauthorised financial services activities: FCA/PRA powers, offences and prosecution approach under FSMA 2000 and the Financial Services Act 2012 (UK)

Published by a LexisNexis Financial Services expert

Practice notes

The general prohibition under FSMA 2000

The general prohibition sits at the centre of the UK regulatory framework, anchoring the regime. In essence, anyone delivering financial services must hold the appropriate authorisations and permissions to conduct business lawfully, before continuing such activities. Under the UK financial services regime, firms must assess whether approval is required from various authorities and recognise the notion of PRA-regulated activity as part of that assessment. In principle, this creates wider room for firms to inadvertently breach the need to be authorised and to lack the requisite Part 4A permissions in place. In practice, though, a large share of Enforcement targets firms and individuals who likely never intended to seek authorisation, eg boiler rooms, share scams, deposit frauds, and ponzi schemes (all variants of fraud in different forms). For further details, see What are regulated activities?, Regulated activities—specified activities and investments—overview, PRA-regulated activities and the scope of PRA regulation, Boiler room fraud, FCA and PRA authorisation under Part 4A of FSMA 2000 and FCA—corporate governance...

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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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