A year of Enforcement

Adam Samuel Dip PFS, LLM, barrister and compliance consultant can be contacted on tel 020 7435 2620; email AdamSamuel@aol.com, website www.adamsamuel.co.uk His book, “Complaints and Compensation: a Guide to the Financial Services Market”, is available from www.cityandfinancial.com and www.adamsamuel.com.

Last year, we asked Adam Samuel to have a look at the caseload of the Financial Services and Markets Tribunal over the previous year. We thought that we would do the same for FSA enforcement practice to see whether the move towards principles-based regulation and the developing influence of Margaret Cole was changing enforcement practice.