An enforcement investigation by the Financial Conduct Authority (FCA) can be an extremely expensive and stressful experience for regulated firms and individuals alike. In February this year, the FCA launched a controversial...more
The UK Financial Conduct Authority (FCA) is entering the final year of its 2022-2025 strategy, which features a commitment to be more innovative, assertive and adaptable. Its 2024/25 Business Plan outlines how the regulator...more
3/29/2024
/ Anti-Money Laundering ,
Consultation ,
Enforcement ,
Enforcement Priorities ,
Environmental Social & Governance (ESG) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
HM Treasury ,
Market Abuse ,
Strategic Planning ,
Supervision ,
UK
“The first rule of enforcement club is that you do in fact talk about enforcement club”; so Therese Chambers, the UK Financial Conduct Authority’s (FCA) joint executive director of enforcement and market oversight, announced...more
3/13/2024
/ Consultation ,
Enforcement ,
Enforcement Authority ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services and Markets Act ,
Financial Services Industry ,
Public Announcements ,
Public Interest ,
Senior Managers ,
UK
“The wholesale insurance market in particular has a long way to go in having an inclusive culture...areas for improvement include...preventing and handling non-financial misconduct,” stated the Financial Conduct Authority...more