Last week, the UK Financial Conduct Authority (FCA) unveiled a 'Part 2' consultation paper detailing a revised version of its controversial proposals to publicly name firms under enforcement investigation. This development...more
12/2/2024
/ Amended Regulation ,
Banking Sector ,
Corporate Governance ,
Enforcement ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
FinTech ,
Investigations ,
Regulatory Agenda ,
UK ,
White Collar Crimes
Tackling market abuse continues to be a strategic priority for the FCA. In late 2014, the FCA undertook a thematic review into asset management firms and the risk of market abuse, the results of which were published in...more
5/25/2015
/ Asset Management ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Fund Managers ,
Insider Trading ,
Risk Management ,
Risk Mitigation ,
Trade Market Abuse
On 18 December 2014, HM Treasury published a final report following the review that it has undertaken of enforcement decision-making processes at the FCA and the PRA.
Originally published in Practical Law on February...more