Currency: 1st Edition, June 2024

The enforcement powers of the Financial Conduct Authority (the FCA) are designed to hold to account those who have caused significant harm to consumers or markets. They are also intended to protect consumers and markets by deterring wrongdoing and restricting the participation of those who lack the requisite fitness and propriety. There can, however, be devastating consequences for an individual’s livelihood and career prospects if they are the subject of these powers. This invaluable new title gives an expert insight into the FCA’s powers to investigate and impose sanctions on individuals in relation to misconduct and a lack of fitness and propriety. It provides a practical guide to these powers and the operation of the enforcement process in relation to them for individuals and firms. The title highlights issues that may be faced following the identification of a potentially significant regulatory issue all the way through to an FCA decision to impose a sanction and the options then available.