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Financial Services Industry Investigations United Kingdom

Hogan Lovells

UK: Trends in FCA enforcement activity 2023/24 and what lies ahead

Hogan Lovells on

This month the UK Financial Conduct Authority (FCA) published its Annual Report and Accounts covering the period April 2023 – March 2024, which includes information on its enforcement activity during that period. The FCA has...more

A&O Shearman

UK FCA Financial Crime Guide consultation: more obligations, or old news?

A&O Shearman on

As financial crime compliance pressures grow, the UK Financial Conduct Authority (FCA) continues to emphasise the significance of its Financial Crime Guide (FCG) as part of the overarching regulatory framework for financial...more

BCLP

Response to FCA's CP24/2

BCLP on

We strongly disagree with the FCA’s proposals, set out in CP24/2, to announce that it has opened enforcement investigations into firms where it considers this to be in the public interest. We set out our objections in detail...more

Akin Gump Strauss Hauer & Feld LLP

FCA Consults on Publishing Information about the Opening and Progress of Investigations

The U.K. Financial Conduct Authority has published its proposed approach to publishing information about the opening and progress of investigations.1  The proposals represent a marked departure from the FCA’s current practice...more

A&O Shearman

FAQs: UK FCA consults on plans to publicise investigations and amend its Enforcement Guide

A&O Shearman on

By now, you may have heard that the UK Financial Conduct Authority (FCA) is consulting on changes to its approach to publicising enforcement investigations, as well as other changes to its Enforcement Guide. If they come into...more

BCLP

FCA publishes its 2022/23 Annual Report and Enforcement data

BCLP on

The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways....more

K&L Gates LLP

PRA Enforcement Changes - The Good, the Bad, and the Ugly

K&L Gates LLP on

On 4 May 2023, the Bank of England (BOE) and the Prudential Regulation Authority (PRA) published a consultation paper on the proposed changes to their enforcement procedures and policies. The consultation is due to close on 4...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

A&O Shearman

Five tips for implementing the UK FCA’s consumer duty

A&O Shearman on

Regulatory change programmes are no small undertaking. Failure to implement change thoroughly can lead to intensified regulatory scrutiny or, if sufficiently serious, investigations and enforcement action....more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden’s 2023 Insights – Five Critical Areas for the Year Ahead

The pandemic’s impact may be subsiding, but businesses are encountering new challenges across the globe, including the potential for an economic retrenchment, rising interest rates, shifting regulatory and litigation...more

A&O Shearman

Changes to decision making at the UK FCA: enforcement action

A&O Shearman on

Despite concerns being raised through the consultation process, the Financial Conduct Authority (FCA) has implemented its proposals to shift some decision making from the Regulatory Decisions Committee (RDC) to senior FCA...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] The SEC and FCA Annual Reports: Facts, Figures, Trends

In this episode, Akin Gump financial regulatory partner Helen Marshall and white collar defense and government investigations practice co-head Michael Asaro look at SEC and FCA’s annual reports to discuss similarities,...more

Robins Kaplan LLP

Financial Daily Dose 10.25.2019 | Top Story: ECB Holds Rates Steady as Draghi Departs

Robins Kaplan LLP on

Mario Draghi presided over his final ECB meeting yesterday, with the central bank deciding to hold rates steady and let current stimulus measures play out for the time being. His departure (and the arrival of former IMF chief...more

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