Jordan Hawthorne

Jordan Hawthorne

K&L Gates LLP

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The FCA's Developing Approach to Nonfinancial Misconduct by Individuals in the Financial Services Sector

On 2 July 2025, the United Kingdom (UK) Financial Conduct Authority (FCA) published a Consultation Paper and Policy Statement (CP25/18) on tackling non-financial misconduct in financial services....more

7/18/2025  /  Code of Conduct , Compliance , Employee Rights , Enforcement Actions , Financial Services Industry , Non-Financial Firms , Regulatory Requirements , UK

Key Takeaways From the UK Financial Conduct Authority's Revised Enforcement Guide

Following a two-part consultation, which began in February 2024 (i.e., CP 24/2 and CP 24/2: Part 2) and was accompanied by a Policy Statement (PS25/5) setting out the UK Financial Conduct Authority’s (FCA) consultation...more

6/30/2025  /  Disclosure Requirements , Enforcement Actions , Enforcement Guidance , Financial Conduct Authority (FCA) , Financial Institutions , Financial Services Industry , Investigations , Regulatory Oversight , Regulatory Requirements , UK
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