DEC App 1.4 Scope and availability of the mediation scheme3

Mediation will not be available in enforcement cases where the FSA is contemplating bringing a criminal prosecution or cases involving disciplinary action for late submission of a report to which ENF 13.5(Financial penalties for late submission of reports) applies.3

Mediation will be available in all other enforcement cases falling within the scope of the RDC. In those cases involving allegations of unfitness and impropriety based on judgements about dishonesty or lack of integrity and the exercise of the FSA'sown-initiative powers on a variation or cancellation of permission, mediation will be available subject to the FSA's consent.31

In a case falling within the scope of the scheme, (see DEC App 1.4.1 G and DEC App 1.4.2 G), mediation will take place where an election to mediate is made after the warning notice has been issued and before the FSA issues a decision notice (the relevant warning notice will state the circumstances in which mediation is available for that matter under the terms of the scheme). Where an election to mediate is made before the issue of a warning notice or after the issue of a decision notice, mediation will be available subject to the FSA's consent.32

A person is not obliged to take part in a mediation in the course of the enforcement process.3