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FSA enforcement process review

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  • Richard Burger

Abstract

Purpose - To consider the recommendations made by the Financial Services Authority (FSA) enforcement process review (the review). Design/methodology/approach - This paper has considered the concerns raised by the Financial Services and Markets Tribunal in the Legal & General case, the reaction of the FSA to those concerns and the terms of reference for the review, plus the impact of the review's 44 recommendations. Findings - That the recommendations will bring greater transparency to the FSA's process of investigating regulatory breaches and taking enforcement action against firms and individuals, although it may take some time for the regulator and the city to adapt to the revised enforcement process. Originality/value - This paper will be of interest to firms and individuals in the regulated sector and regulatory lawyers interested in the FSA's enforcement process.

Suggested Citation

  • Richard Burger, 2006. "FSA enforcement process review," Journal of Financial Regulation and Compliance, Emerald Group Publishing Limited, vol. 14(1), pages 14-23, January.
    • Handle: RePEc:eme:jfrcpp:13581980610644716
    DOI: 10.1108/13581980610644716
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