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Public Disclosure › Financial Conduct Authority (FCA) › Enforcement Actions

Jones Day

AIM-Listed Company Implements Investor Compensation Scheme Following FCA Public Censure

Jones Day on

The Situation: The UK Financial Conduct Authority ("FCA") publicly censured a UK publicly listed IT services provider for false disclosure but avoided a fine on the basis that the company provided essential services during...more

Dechert LLP

Achilles Macris v FCA: Court of Appeal Ruling Safeguards Individuals’ Rights in Regulatory Investigations

Dechert LLP on

As part of its policy of credible deterrence, the UK Financial Conduct Authority (FCA) has frequently sought to include specific examples of individuals’ behaviour in its enforcement notices in order to highlight the failings...more

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