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Please note that this briefing paper is no longer being updated but is kept here for readers seeking further detail. The most recent relevant briefing is Economic crime: The UK’s multi-billion pound problem.

Many of the penalties levied on financial service firms are for breaches of rules rather than crimes. The rules are drawn up by the financial regulators – in the retail market this is now mainly the Financial Conduct Authority and appear in the Handbook.

Statute offences also exist and these can be enforced by several agencies.

This note gives a brief guide to the main agencies involved in the enforcement of financial law and their powers.


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