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Enforcement Guidance United Kingdom

Latham & Watkins LLP

Recent Developments for UK PLCs - April 2024 Edition

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On 5 March 2024, the Pre-Emption Group (PEG) published its first report monitoring the use of its updated Statement of Principles on the disapplication of pre-emption rights for UK listed companies. The Principles were...more

Latham & Watkins LLP

FCA Consults on Plans to Announce Enforcement Investigations

Latham & Watkins LLP on

The FCA plans to streamline its approach to enforcement and publicise investigations at an early stage. On 27 February 2024, the FCA published a Consultation Paper (CP24/2) on its proposed new approach to publicising...more

A&O Shearman

The results are in: Our top 10 enforcement insights from the FCA’s Annual Report for 2022/23

A&O Shearman on

Last week, the FCA published its Annual Report for 2022/23, which included the usual FCA annual enforcement performance data. Below we have selected 10 key points from the Annual Report that are interesting from an...more

A&O Shearman

Ten FCA and PRA enforcement predictions for 2023 – Part 2

A&O Shearman on

This pair of posts focuses on ten less-obvious enforcement predictions that we think will shape the UK financial services investigations and enforcement landscape during 2023 and beyond. Originally published in on...more

A&O Shearman

Ten FCA and PRA enforcement predictions for 2023 – Part 1

A&O Shearman on

This pair of posts focuses on ten less-obvious enforcement predictions that we think will shape the UK financial services investigations and enforcement landscape during 2023 and beyond. Originally published in Practical...more

Hogan Lovells

The new Brexit deal: tougher times ahead for an already struggling SFO?

Hogan Lovells on

On 24 December 2020, the UK and the EU reached a new Trade and Cooperation Agreement. The deal, which came into force on 1 January 2021, has important implications for white collar crime enforcement across Europe, and in...more

BCLP

SFO Corporate Co-operation Guidance – A flawed approach and a wasted opportunity

BCLP on

The much heralded Corporate Co-operation Guidance published by the Serious Fraud Office recently offers little comfort to corporates struggling with the dilemma of whether to self-report wrongdoing. Instead it offers a...more

A&O Shearman

UK Conduct Regulator Publishes Consultation on Regulation of Proxy Advisors under Revised Shareholder Rights Directive

A&O Shearman on

The U.K. Financial Conduct Authority has published a consultation on proposed changes to its Decision Making and Penalties Manual and Enforcement Guide to incorporate its new responsibility for regulation of proxy advisors....more

A&O Shearman

UK Regulator Proposes Guidance on Obligations to Counter Insider Dealing and Market Manipulation

A&O Shearman on

The Financial Conduct Authority has launched a consultation on adding a proposed chapter on insider dealing and market manipulation to its Financial Crime Guide. The Financial Crime Guide is not part of the FCA's rules but it...more

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