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Please note that this briefing paper is no longer being updated.

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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.

Documents to download

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