Committees

FCA enforcement guidance consultation

Inquiry

The Financial Services Regulation Committee is taking evidence on the FCA’s consultation paper CP24/2: Our Enforcement Guide and publicising enforcement investigations—a new approach. The Committee has issued a call for written evidence and will invite the FCA to provide oral evidence to the Committee at a later date. This call for evidence was reopened on 5 August 2024 following the Committee’s reappointment on 29 July 2024.

This inquiry is no longer accepting evidence

The deadline for submissions was Friday 11 October 2024.

Reports, special reports and government responses

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1st Report - Naming and shaming: how not to regulate
Inquiry FCA enforcement guidance consultation
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HL Paper 76
Report

Correspondence

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Letter from Nikhil Rathi, Chief Executive of the FCA, to Lord Forsyth of Drumlean regarding consultation paper CP24/2 on publicising enforcement investigations (11 March 2025)
Inquiry FCA enforcement guidance consultation
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Correspondence
Letter from Nikhil Rathi, Chief Executive of the FCA, to Lord Forsyth of Drumlean regarding the FCA’s consultation paper CP24/2 (Part 2) on publicising enforcement investigations (27 November 2024)
Inquiry FCA enforcement guidance consultation
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Correspondence

Oral evidence transcripts

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13 November 2024
Inquiry FCA enforcement guidance consultation
Witnesses Financial Conduct Authority (FCA), and Financial Conduct Authority (FCA)
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201KB
Oral Evidence

Written evidence

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Anonymised (EGC0039)
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76KB
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35KB
Anonymised (EGC0004)
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53KB
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11KB
ASC Advisors LLC (EGC0031)
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47KB
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Other publications

Declarations of interest
Members of the House of Lords must declare relevant interests in committee work.
2 published

Contact us

  • Email: hlfinservreg@parliament.uk
  • Phone: 02072198444 (Committee Staff) 02072196640 (Press Officer)
  • Address: Financial Services Regulation Committee, House of Lords, London SW1A 0PW