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United Kingdom Financial Conduct Authority (FCA) Willful Misconduct

Akin Gump Strauss Hauer & Feld LLP

Cross-Border Implications of the FCA’s Consultation Paper on Publishing Information About the Opening and Progress of...

Last month, the United Kingdom Financial Conduct Authority (FCA) announced that it is considering new procedures under which it would publicly identify firms that are under investigation as soon as the investigation has been...more

Latham & Watkins LLP

UK Regulators Set Out Policy Proposals on Misconduct; Diversity and Inclusion

Latham & Watkins LLP on

The FCA and the PRA have published their long-awaited consultations which aim to formalise how firms approach diversity and inclusion. On 25 September 2023, the FCA and the PRA published separate but related consultation...more

Latham & Watkins LLP

The FCA’s Approach to Non-Financial Misconduct - A Further Twist

Latham & Watkins LLP on

The FCA stated that the perpetrator’s character is key to non-financial misconduct investigations, which suggests a mismatch with recent case law. In last year’s Frensham case, the Upper Tribunal considered how relevant...more

Morgan Lewis

UK FCA Seeks to Ban Regulated Person for Nonfinancial Misconduct

Morgan Lewis on

The Financial Conduct Authority (FCA) has emphasised in recent years that firms should consider nonfinancial misconduct when assessing the fitness and propriety of staff. ...more

Katten Muchin Rosenman LLP

Bridging the Week - September 2015

Alleged Flash Crasher's Formal Indictment Provides More Details Regarding His Purported Spoofing - The US Department of Justice filed a formal indictment against Navinder Singh Sarao in a US federal court in Chicago on...more

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