Information on our risk-based approach to enforcement and resolution.
Our Statement of Prudential Policy sets out our approach to enforcement and resolution.
Statement of Prudential Policy
Where appropriate, we investigate non-compliance and take enforcement action. We take a risk-based approach to ensure our enforcement resources have the most impact. We prioritise the issues that are likely to have a greater bearing on our objectives or support our credibility as a regulator and achieve appropriate supervisory outcomes.
Our Enforcement Framework sets out how we select matters for investigation, conduct investigations and ultimately take decisions relating to enforcement matters.
We do not run a zero-failure regime — we allow regulated entities to fail where the risks to the financial system are understood and can be managed.
We: