Our Financial Services Group tracks UK regulatory enforcement – analysing key enforcement decisions from the Financial Conduct Authority and the Prudential Regulation Authority for lessons learnt for our clients. 

Firms and senior managers can use our 'Notices in a nutshell' publications to quickly get to up to speed on the key findings and practical takeaways from the decisions, helping them to identify where decisions contain learnings for their business.

Latest insights

digital waves on dark background

Publication

Notice in a nutshell: Individual lack of integrity and a reminder of the need for effective contemporaneous governance arrangements

United Kingdom | September 30, 2025

Blue digital financial graph

Publication

Notice in a nutshell: PRA fines reinsurer's London branch after post-Brexit governance failings

United Kingdom | September 25, 2025

Digital connections on circuit board-type interface

Publication

Notice in a nutshell: Sigma Broking Limited

United Kingdom | August 28, 2025

Stock market trading graph

Publication

Notice in a nutshell: Neil Woodford and Woodford Investment Management Limited

United Kingdom | August 20, 2025

High voltage electricity tower sky

Publication

Notice in a nutshell: Gonzalez, Sheth, Urra

United Kingdom | August 12, 2025

Data privacy

Publication

Notice in a nutshell: Vocalink Limited

United Kingdom | August 01, 2025

digital padlock security

Publication

Notice in a nutshell: Donaldson and Arden

United Kingdom | July 24, 2025

glass-offices-reflections-blue

Publication

Notice in a nutshell: Monzo Bank Limited

United Kingdom | July 22, 2025

Creative forex chart background with candlestick. Trade and broker concept. 3D Rendering

Publication

Notice in a nutshell: FSN - Direct Trading Technologies UK Ltd

Poland | May 14, 2025

Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Notice in a nutshell: CFD provider, Infinox Capital Limited, fined for missing transaction reports

United Kingdom | January 31, 2025

Financial-institution-building-skyscraper-office-windos-AdobeStock_276603802

FCA sends a clear message on non-financial misconduct

United Kingdom | March 19, 2025



Contact

Katie Stephen
Katie Stephen
Co-Head of the Contentious Financial Services Group, London
Email
katie.stephen@nortonrosefulbright.com
T: +44 (20) 74442431

Practice areas:

Industry:

Recent publications

Publication

Relief from relief: Making handling relief events easier and more collaborative

Relief events clauses are included as standard provisions of most technology implementation, outsourcing and services contracts.

Global | September 29, 2025

Technology
Navigating international trade and tariffs

Publication

Navigating international trade and tariffs

Impacts of evolving trade regulations and compliance risks

Global | September 25, 2025

International trade
Financial-institution-building-office-window-generic-AdobeStock_252491125

Publication

Liability 101: Liability clauses in technology and outsourcing contracts

Liability is often a contentious topic (and typically the last provision to be agreed) in a technology or outsourcing contract negotiation.

Global | September 22, 2025

Technology transactions
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