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...

Attestations under FCA and PRA supervision in UK financial services: purpose, usage trends, enforcement risks and practical steps for firms and Senior Managers

Published by a LexisNexis Financial Services expert

Practice notes

What is an attestation?

The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) can seek an attestation from a firm when they are worried about, or looking into, an actual or possible breach of regulatory obligations. In essence, an attestation is the regulator asking a named individual within a regulated business—typically a manager who also holds a Senior Manager function—to give a signed written statement confirming the firm’s compliance with particular regulatory requirements affecting a defined part of the business. The FCA also employs attestations as part of day-to-day supervision; for example, every firm must annually attest that the details held on the Financial Services Register are correct (see Practice Note: The Financial Services Register). The PRA likewise uses attestations routinely, generally via standardised forms, while noting that it may require attestations addressing compliance with specific rules on an ad hoc basis. As discussed below, the PRA has not, to date, made public any attempt to use attestations for investigatory purposes; nevertheless, it did request an attestation following the Enforcement action against Jes Staley to monitor Barclays’ whistleblowing systems and controls...

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Jankee Gohil

Linklaters

Jankee advises firms on a range of regulatory and compliance matters, with a particular focus on contentious regulatory work. She has significant experience advising asset managers in relation to FCA enforcement investigations and supervisory interventions, including s166 FSMA 2000 reviews and enquiries relating to market abuse. Other recent experience includes advising an unregulated firm under investigation by the FCA for breach of the general prohibition; advising a US headquartered bank in relation to an internal investigation; and advising multiple firms in relation to Ofgem enquiries / investigations. Jankee has also represented an individual in an FCA investigation which was closed with no enforcement action and assisted firm to successfully defend themselves against client complaints, including those referred to the FOS. Jankee’s recent non-contentious experience includes advising a range of firms across the retail and wholesale sectors, as well as unregulated firms, on new and...

Pan Papakyprianou

Linklaters

Pan is an Associate in Linklaters LLP’s Financial Regulation Group. He has experience advising a wide range of clients – including retail and investment banks, fintech and cryptoasset firms, and asset managers – on a breadth of financial regulatory matters. Pan has advised clients in contentious, advisory, and transactional contexts. This has included advice in relation to the regulatory perimeter, client asset custody, CSDR, and AML requirements (including in relation to cryptoasset registration)....

Web page updated on 21/05/2026

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