Rosie Naylor

Rosie Naylor

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

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

4/15/2025  /  Diversity and Inclusion Standards (D&I) , Enforcement Actions , Financial Conduct Authority (FCA) , Financial Institutions , Financial Services Industry , Proposed Rules , Regulatory Oversight , Regulatory Reform , Regulatory Requirements , UK

New Office of Financial Sanctions Implementation Financial Services Threat Assessment

On 13 February 2025, the Office of Financial Sanctions Implementation (OFSI) published its assessment of suspected sanctions breaches involving financial services firms since February 2022 (the Assessment). The Assessment...more

3/27/2025  /  Cryptocurrency , Economic Sanctions , Financial Services Industry , Jurisdiction , Office of Financial Sanctions Implementation (OFSI) , Regulatory Requirements , Risk Management , Russia , 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
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