Last week, the FCA published its long-awaited policy statement containing amendments to the FCA’s Code of Conduct (“COCON”) aimed at combatting non-financial misconduct (“NFM”). NFM can amount to a breach of FCA rules in any...more
7/9/2025
/ Banks ,
Bullying ,
Code of Conduct ,
Consultation ,
Corporate Misconduct ,
Employee Misconduct ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Policy Statement ,
Sexual Assault ,
Sexual Harassment ,
SMCR ,
UK ,
Workplace Bullying
An enforcement investigation by the Financial Conduct Authority (FCA) can be an extremely expensive and stressful experience for regulated firms and individuals alike. In February this year, the FCA launched a controversial...more
The UK Financial Conduct Authority (FCA) is entering the final year of its 2022-2025 strategy, which features a commitment to be more innovative, assertive and adaptable. Its 2024/25 Business Plan outlines how the regulator...more
3/29/2024
/ Anti-Money Laundering ,
Consultation ,
Enforcement ,
Enforcement Priorities ,
Environmental Social & Governance (ESG) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
HM Treasury ,
Market Abuse ,
Strategic Planning ,
Supervision ,
UK
“The first rule of enforcement club is that you do in fact talk about enforcement club”; so Therese Chambers, the UK Financial Conduct Authority’s (FCA) joint executive director of enforcement and market oversight, announced...more
3/13/2024
/ Consultation ,
Enforcement ,
Enforcement Authority ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services and Markets Act ,
Financial Services Industry ,
Public Announcements ,
Public Interest ,
Senior Managers ,
UK
“The wholesale insurance market in particular has a long way to go in having an inclusive culture...areas for improvement include...preventing and handling non-financial misconduct,” stated the Financial Conduct Authority...more