Related provisions for EG 19.33.10

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EG 6.1.1RP
1The FCA will not normally make public the fact that it is or is not investigating a particular matter, or any of the findings or conclusions of an investigation except as described in other sections of this chapter. The following paragraphs deal with the exceptional circumstances in which the FCA may make a public announcement that it is or is not investigating a particular matter.
EG 6.1.2RP
1Where the matter in question has occurred in the context of a takeover bid, and the following circumstances apply, the FCA may make a public announcement that it is not investigating, and does not propose to investigate, the matter. Those circumstances are where the FCA:(1) has not appointed, and does not propose to appoint, investigators; and (2) considers (following discussion with the Takeover Panel) that such an announcement is appropriate in the interests of preventing or
EG 6.1.3RP
1Where it is investigating any matter, the FCA will, in exceptional circumstances, make a public announcement that it is doing so if it considers such an announcement is desirable to: (1) maintain public confidence in the financial system or the market; or (2) protect consumers or investors; or (3) prevent widespread malpractice; or (4) help the investigation itself, for example by bringing forward witnesses; or (5) maintain the smooth operation of the market. In deciding whether
EG 6.1.4RP
1The exceptional circumstances referred to above may arise where the matters under investigation have become the subject of public concern, speculation or rumour. In this case it may be desirable for the FCA to make public the fact of its investigation in order to allay concern, or contain the speculation or rumour. Where the matter in question relates to a takeover bid, the FCA will discuss any announcement beforehand with the Takeover Panel. Any announcement will be subject
EG 6.1.6RP
1The FCA will not normally publish details of the information found or conclusions reached during its investigations. In many cases, statutory restrictions on the disclosure of information obtained by the FCA in the course of exercising its functions are likely to prevent publication (see section 348 of the Act). In exceptional circumstances, and where it is not prevented from doing so, the FCA may publish details. Circumstances in which it may do so include those where the fact
EG 6.2.5RP
3The principal purpose of this power is to promote the early transparency of enforcement proceedings. This has several benefits, including: consumers, firms and market users will be able to understand the types of behaviour that the FCA considers unacceptable at an earlier stage, which in turn should encourage more compliant behaviour;by showing at an earlier stage that the FCA is taking action, confidence in the FCA and the regulatory system should be enhanced;there will be more
EG 6.2.12RP
3The FCA will consider the circumstances of each case, but will ordinarily publicise enforcement action where this has led to the issue of a final notice. The FCA may also publicise enforcement action where this has led to the issue of a decision notice. The FCA will decide on a case-by-case basis whether to publish information about the matter to which a decision notice relates, but expects normally to publish a decision notice if the subject of enforcement action decides to
EG 6.2.16RP
3Publishing notices is important to ensure the transparency of FCA decision-making; it informs the public and helps to maximise the deterrent effect of enforcement action. The FCA will upon request review warning notice statements, decision notices, final notices and related press releases that are published on the FCA's website. The FCA will determine at that time whether continued publication is appropriate, or whether notices and publicity should be removed or amended.
EG 6.6.1RP
1The FCA will normally publicise the outcome of public hearings in criminal prosecutions.
EG 6.6.2RP
1When conducting a criminal investigation the FCA will generally consider making a public announcement when suspects are arrested, when search warrants are executed and when charges are laid. A public announcement may also be made at other stages of the investigation when this is considered appropriate.
EG 6.6.3RP
1The FCA will always be very careful to ensure that any FCA publicity does not prejudice the fairness of any subsequent trial.
EG 19.34.15RP
1The FCA will apply the approach to publicity that is outlined in EG 6, read in light of the applicable publicity provisions in section 391D of the Act.
EG 19.35.16RP
1The FCA will apply the approach to publicity that is outlined in EG 6, read in light of applicable publicity provisions in section 391D of the Act.
EG 19.36.15RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
REC 2A.4.12GRP
The FCA2 will apply the approach to publicity that it has outlined in EG 6.2
EG 19.30.14RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.29.13RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.28.14RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
EG 6.5.2RP
1The FCA considers it generally appropriate to publish details of its successful applications to the court for civil remedies including injunctions or restitution orders. For example, where the court has ordered an injunction to prohibit further illegal regulated activity, the FCA thinks it is appropriate to publicise this to tell consumers of the position and help them avoid dealing with the person who is the subject of the injunction. Similarly, a restitution order may be publicised
EG 20.4.4RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.27.11RP
2The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.26.9RP
1In relation to the notices in this section, the FCA will, subject to EG 19.26.3(2), apply the approach to publicity that is outlined in EG 6.
EG 19.31.10RP
1The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.32.12RP
The FCA will apply the approach to publicity that is outlined in EG 6.
EG 19.15.7RP
1The FCA will apply the approach to publicity that it has outlined in EG 6, read in the light of applicable publicity provisions in regulation 84 of the Money Laundering Regulations2.
EG 5.1.3RP
1Settlements in the FCA context are not the same as ‘out of court’ settlements in the commercial context. An FCA settlement is a regulatory decision, taken by the FCA, the terms of which are accepted by the firm or individual concerned. So, when agreeing the terms of a settlement, the FCA will carefully consider its statutory objectives and other relevant matters such as the importance of sending clear, consistent messages through enforcement action, and will only settle in appropriate
SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).