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Non-Financial Misconduct reassessed in light of Frensham v The Financial Conduct Authority. If in doubt, disclose!

Introduction - The UK Financial Conduct Authority (the “FCA”) issued a prohibition order against Mr Frensham based on his conviction for an offence which did not involve financial fraud or dishonesty and was unrelated to...more

UK SPAC Update – FCA Final Rules Published

On the 27th of July this year, the UK Financial Conduct Authority (the “FCA”) published a policy statement setting out its final rules and changes to its listing rules for certain special purpose acquisition companies, or...more

Second Chances? What the Neil Woodford Matter Tells Us about the FCA Fit & Proper Test

Introduction - On 14 February 2021, Neil Woodford (a high-profile investment manager in the UK) announced his intention to launch a new fund management firm operated out of the UK and Jersey. Woodford’s announcement was...more

Brexit and Financial Services

Summary - Although a detailed Brexit agreement has been reached between the UK and the EU on trade in goods and certain services, further work remains on the treatment of financial services. The EU must determine which UK...more

FCA to Review Hedge Fund Polling Data Use

Political reaction to significant market movements and perceived hedge fund profits will result in regulatory scrutiny and possibly legislation, especially when elided with the desire to protect democratic integrity and...more

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