Adam Brown

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Latest Posts › Financial Conduct Authority (FCA)

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A Multifaceted Maze: The FCA's Role and Powers in Distressed Situations

The last five years have seen a substantial increase in the number and variety of regulated firms operating in the United Kingdom, with the development in particular of financial services provided by new technology firms,...more

3/15/2021 / E-Money , Financial Conduct Authority (FCA) , Financial Institutions , Financial Markets , Financial Services Industry , FSMA , Insolvency , UK

Turning Tides in FCA SMCR Enforcement: Easier Targets, Non-Financial Misconduct, Changing Priorities

The Situation: The Financial Conduct Authority ("FCA") is extending the Senior Managers and Certification Regime ("SMCR") to FCA solo-regulated firms on 9 December 2019 and has also released a number of statements in relation...more

11/26/2019 / Certification Requirements , Code of Conduct , Corporate Misconduct , Enforcement Actions , Financial Conduct Authority (FCA) , Financial Services Industry , Prudential Regulation Authority (PRA) , Senior Management Regime (SMR) , Senior Managers , SMCR

Bank of England Establishes Enforcement Decision Making Committee

In Short: The Bank of England ("BoE") has published its final policy statement and procedures for its new Enforcement Decision Making Committee ("EDMC"). The Result: The EDMC will be the BoE's independent decision-making...more

12/19/2018 / Bank of England , Banking Sector , EU , Financial Conduct Authority (FCA) , Prudential Regulation Authority (PRA) , UK

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