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

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Publication

Experienced investor relations team member fined and prohibited by FCA for insider dealing

United Kingdom | October 29, 2025

high raise building

Publication

Investment manager’s failure to manage conflicts of interest leads to FCA censure and redress requirement

United Kingdom | October 22, 2025

digital waves on dark background

Publication

FCA fines director for lack of integrity

United Kingdom | September 30, 2025

Blue digital financial graph

Publication

PRA fines reinsurer's London branch after post-Brexit governance failings

United Kingdom | September 25, 2025

Digital connections on circuit board-type interface

Publication

Broker fined for MiFIR transaction reporting failures

United Kingdom | August 28, 2025

Stock market trading graph

Publication

Fund management failings offer lessons for firms and senior managers

United Kingdom | August 20, 2025

High voltage electricity tower sky

Publication

Win for FCA in spoofing case

United Kingdom | August 12, 2025

Data privacy

Publication

Bank of England fine highlights importance of risk management and good governance

United Kingdom | August 01, 2025

digital padlock security

Publication

Bank's former directors fined for role in Listing Rules breaches

United Kingdom | July 24, 2025

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Publication

Bank fined for financial crime failings

United Kingdom | July 22, 2025

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Publication

FCA imposes restrictions on broker

United Kingdom | May 14, 2025

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Publication

FCA sends a clear message on non-financial misconduct

United Kingdom | March 19, 2025

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Publication

FCA fines CFD provider for missing transaction reports

United Kingdom | January 31, 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

international cargo ship

Publication

Global Affairs Canada releases updated sanctions compliance guidance

In November 2025, the Sanctions Bureau of Global Affairs Canada (GAC) released additional guidance on compliance with Canada’s sanctions regime.

Canada | November 17, 2025

Financial institutions
Collage of brain over circuit board

Publication

The AI trap: What Laprade reveals about risk in investigations, self-disclosure and insolvency

In the evolving landscape of white-collar litigation and insolvency investigations, generative AI is rapidly becoming a tool of choice for legal teams seeking speed, scale, and precision.

Canada | November 17, 2025

Artificial intelligence (AI)
Turkey

Publication

Compliance Quarterly Türkiye

In this issue of our Compliance Quarterly Türkiye, we continue to inform our clients about the global and local compliance rules and regulations which impact Turkish businesses.

Global | November 17, 2025

Artificial intelligence (AI)
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