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OFSI's Enforcement Playbook is Being Redrafted: What This Potential Reform Means for You

On 22 July 2025, the UK’s Office of Financial Sanctions Implementation (OFSI) launched a major consultation proposing wide-ranging enhancements to its civil enforcement framework (the Consultation). The Consultation is open...more

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

FCA Backpedals: "Name and Shame" and Diversity and Inclusion Requirements Axed, and Non-financial Misconduct Rules Delayed

The United Kingdom’s Financial Conduct Authority (FCA) has announced significant changes to its regulatory approach, including dropping the obligation to “name and shame” firms under investigation, dropping the proposed...more

UK Office of Trade Sanctions Implementation New Enforcement Powers and Increased Reporting Obligations

On 12 September 2024, the UK government released the new Trade, Aircraft and Shipping Sanctions (Civil Enforcement) Regulations 2024 (the Regulations), which will come into force on 10 October 2024. The Regulations grant the...more

The Year Ahead: The Financial Conduct Authority's Ambitious Enforcement Plans for 2024/2025

In 2022, for the first time, the Financial Conduct Authority (FCA) published a three-year strategy setting out three key themes for promoting positive change, namely: (1) reducing and preventing serious financial harm and...more

UK and EU Sanctions Update–April 2024

The following alert provides an update on recent sanctions developments, including: The publication of the UK government’s first sanctions strategy. The announcement of over 50 new sanctions. Measures to strengthen the Oil...more

PRA Enforcement Changes - The Good, the Bad, and the Ugly

On 4 May 2023, the Bank of England (BOE) and the Prudential Regulation Authority (PRA) published a consultation paper on the proposed changes to their enforcement procedures and policies. The consultation is due to close on 4...more

Where the United States Goes, the FCA Will Inevitably Follow: Regulatory Action Against the Use of Personal Mobile Devices

The ability to maintain effective and accurate recordkeeping, a key method of ensuring market integrity, has been tested in recent years. The widespread use of personal mobile devices, instant messaging services, and general...more

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