Helen Phizackerley

K&L Gates LLP

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Europe: Are the UK FCA’s Revised “Name and Shame” Proposals an Improvement?

In November 2024, the UK FCA released a Consultation which seeks to clarify its proposed approach to publicising ongoing enforcement action—dubbed the “name and shame” plan—and to assure the wider market of the plan’s...more

1/28/2025 / Corporate Governance , Disclosure Requirements , Enforcement Actions , Financial Conduct Authority (FCA) , Financial Regulatory Reform , Financial Services Industry , Government Investigations , Investment Firms , Regulatory Agenda , UK

The FCA's Part 2 of Its "Name and Shame" Proposals: What You Need to Know

On 27 February 2024, the Financial Conduct Authority (FCA) published its Consultation Paper CP24/2, which revealed the FCA’s new intended approach to publicised enforcement action. This was quickly dubbed the “name and shame”...more

1/14/2025 / Compliance , Corporate Governance , Disclosure Requirements , Enforcement Actions , Financial Conduct Authority (FCA) , Regulatory Agenda , Regulatory Reform , Regulatory Requirements , Risk Management , UK

Guidance to Organisations on the Offence of Failure to Prevent Fraud

On 6 November 2024, the government released its much-anticipated guidance on the offence of failure to prevent fraud (the Guidance), as introduced by the Economic Crime and Corporate Transparency Act 2023 (the Act)....more

11/22/2024 / Corporate Governance , Criminal Liability , Fraud , Fraud Prevention , Risk Assessment , Risk Mitigation , UK

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