Two recent FCA fines demonstrate the FCA’s willingness to hold senior executives of listed companies to account, including for market disclosures. The FCA will rely on a low bar to hold them 'knowingly concerned', pursue...more
2/2/2026
/ Corporate Governance ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Internal Controls ,
Listing Rules ,
Market Manipulation ,
Misleading Statements ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Regulatory Requirements ,
UK
The UK continues to strengthen its approach to white collar crime and corporate investigations, with significant legal and regulatory reforms introduced in 2025 and further changes anticipated. The UK Government’s new...more
1/29/2026
/ Anti-Corruption ,
Corporate Crimes ,
Corporate Misconduct ,
Criminal Investigations ,
Deferred Prosecution Agreements ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Investigations ,
New Legislation ,
Regulatory Reform ,
Serious Fraud Office (SFO) ,
UK Corporate Criminal Offense ,
Whistleblowers ,
White Collar Crimes
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...more
1/21/2026
/ Capital Markets ,
Compliance ,
Corporate Governance ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Insider Trading ,
Internal Controls ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Risk Management ,
Securities Regulation ,
Securities Violations ,
UK
Data exfiltration via cyberattack is top-of-mind for financial services firms. Regulatory attention is primarily focused on the risk of impersonation to misappropriate funds, but there are two other angles firms would do well...more
1/19/2026
/ Cybersecurity ,
Data Breach ,
Data Loss Prevention ,
Data Protection ,
Data Security ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Fraud ,
Incident Response Plans ,
Insider Breach ,
Risk Management ,
UK
The UK Financial Conduct Authority (FCA) has recently censured BlueCrest Capital Management (UK) LLP (BlueCrest) and secured a voluntary USD101m redress scheme for investors in a fund it managed. The action highlights the...more