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Why settle for less? FCA and PRA consult on changes to the enforcement process

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作者/编者: Rachel Couter,Olivia Short 作者单位: 金杜律师事务所
学科分类: 经济法学 类型分类: 综合
创作年代: 2016 所属机构: 金杜律师事务所
出处/来源: 金杜律师事务所 文献语种: 英文
发布时间: 2021-01-28 08:02:23
外部链接: https://www.kwm.com/en/uk/knowledge/insights/fca-and-pra-consult-on-changes-to-enforcement-process-20160419

摘要/简介Abstract

On 14 April 2016, the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA) published their consultation paper proposing various changes to the enforcement process in response to the following three publications. The suggested reforms are underlined with a desire to increase the level of transparency and efficiency for those subject to the enforcement process. Comments have been requested by 14 July 2016. The main proposed substantive changes relate to the settlement process and the ability to “leapfrog” the Regulatory Decisions Committee and refer the matter straight to the Upper Tribunal. These are considered in more detail below, together with proposals to increase transparency within enforcement proceedings, but there are further proposals to improve the referral process as well as to increase cooperation between the two regulators when the same matter is of relevance to both.

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