2022 saw a big shift in the geo-political climate and a bedding in of the new hybrid working world. These two developments are reflected in the blogs our subscribers were most interested in reading. Readers remain focused on...more
1/10/2023
/ Economic Sanctions ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Money Laundering ,
Pending Legislation ,
Regulatory Agenda ,
Regulatory Reform ,
Regulatory Violations ,
Russia ,
Senior Management Regime (SMR) ,
SMCR ,
UK ,
Ukraine
Financial crime has been a key area of focus for the UK Financial Conduct Authority (FCA) for a number of years, attracting some of the highest financial penalties, and this looks set to continue. With improvements to FCA...more
As the dust looks like it is starting to settle on the Covid-19 pandemic, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have been busy resuming their enforcement agendas.
Originally...more
The UK Financial Conduct Authority (FCA) has finalised two enforcements against brokers in relation to the cum-ex trading scandal; both for failing to mitigate the risk of facilitating financial crime. Further action seems...more