About the FRC Videos & Podcasts The FRC's Enforcement Process

The FRC's Enforcement Process

12 July 2018

The Enforcement Division of the Financial Reporting Council (FRC) investigates alleged failures in audit, accounting and actuarial work and takes enforcement action when appropriate.  The multi-disciplinary team of 30 (comprising lawyers, forensic accountants and legal assistants) works on approximately 30 investigations at any one time.
In this video, Claudia Mortimore discusses how the team approaches these often large and complex investigations, including the process, timing, challenges and decision making on enforcement action and sanctions.