Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2006-10-06

ENF 13.4 Decision making procedure and publication

ENF 13.4.1G

The Act requires the FSA to issue a warning notice, decision notice and final notice before imposing a financial penalty. More information on the procedure the FSA will follow in these circumstances is contained in DEC.

ENF 13.4.2G

The FSA will consider the circumstances of each case, but ordinarily will publicise the financial penalty by issuing a press release, giving details of the behaviour and the penalty imposed. However, the Act provides (section 391(6) (Consultation)) that the FSA may not publish information in these circumstances where it would be unfair to the person on whom the financial penalty is imposed, or prejudicial to the interests of consumers.