The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are considering ways to enhance individual accountability, particularly among Senior Managers, by more fully integrating the regulatory...more
This article examines the latest trends in U.K. regulatory enforcement and supervisory action and highlights the key takeaways for firms in 2025 and beyond.
Over the past 18 months, the Financial Conduct Authority (FCA)...more
2/6/2025
/ Compliance ,
Consumer Protection Laws ,
Corporate Governance ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Regulatory Reform ,
Fines ,
Prudential Regulation Authority (PRA) ,
Regulatory Oversight ,
Risk Management ,
UK
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
This is the last post in our series on the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals to introduce a new regulatory framework on diversity and inclusion (D&I) in the financial...more
12/22/2023
/ Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Data Protection ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
UK
The UK financial services’ regulators have introduced new proposals on setting diversity and inclusion (D&I) targets by firms. These proposals aim to address underrepresentation of particular demographics within firms and the...more
11/17/2023
/ Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Employees ,
Employer Liability Issues ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
UK