The Financial Conduct Authority's (FCA) long-awaited new measures for tackling non-financial misconduct (NFM) in financial services are (finally) here. On 2 July 2025, the FCA published its final rules in Consultation Paper...more
7/31/2025
/ Code of Conduct ,
Compliance ,
Diversity and Inclusion Standards (D&I) ,
Employee Rights ,
Employment Discrimination ,
Employment Policies ,
Equality Act ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Harassment ,
New Rules ,
Policies and Procedures ,
Regulatory Requirements ,
Risk Management
On Tuesday (24 June 2025) the FCA published its Prescribed Person’s Annual Report on whistleblowing (“24/25 Report”), which covers reports received and acted on with during the period 1 April 2024 – 31 March 2025 (the “24/25...more
6/27/2025
/ Annual Reports ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Regulatory Reform ,
Financial Services Industry ,
Fraud ,
HMRC ,
IRS ,
New Guidance ,
Regulatory Agencies ,
Regulatory Oversight ,
Regulatory Requirements ,
Serious Fraud Office (SFO) ,
UK ,
Whistleblowers
On Tuesday the UK’s Financial Conduct Authority (FCA) issued an updated version of its Enforcement Guide, which will now be referred to as ‘ENFG’ in the FCA Handbook, to distinguish it from the previous version. The ENFG is...more
6/5/2025
/ Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Investigations ,
New Guidance ,
Penalties ,
Policies and Procedures ,
Regulatory Reform ,
Regulatory Requirements ,
Settlement ,
UK
On 17 April, the UK’s Serious Fraud Office (SFO) charged a UK-based insurance company, United Insurance Brokers Limited (UIB) with ‘failure to prevent bribery’ in connection with its international reinsurance activity in...more