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Consultation Corporate Misconduct

WilmerHale

New FCA Rules on Non-Financial Misconduct

WilmerHale on

Last week, the FCA published its long-awaited policy statement containing amendments to the FCA’s Code of Conduct (“COCON”) aimed at combatting non-financial misconduct (“NFM”). NFM can amount to a breach of FCA rules in any...more

Goodwin

FCA Non-Financial Misconduct Rules: Private Fund Managers, Fintechs, and Other Non-Banks Firmly in Scope

Goodwin on

In a previous alert, “FCA D&I Standards for Large Firms Abandoned (for now), Non-financial Misconduct Rules Delayed (but Still Important),” we discussed the proposals put forward by the UK Financial Conduct Authority (FCA)...more

BCLP

The Long-Awaited FCA Paper on Non-financial Misconduct – Was It Worth the Wait?

BCLP on

On 2 July 2025, the FCA published a further consultation paper on “tackling non-financial misconduct in financial services”. The industry has been eagerly awaiting publication of this paper, in the hope that it will address...more

IMS Legal Strategies

The Power of Analogies in Securities Litigation

IMS Legal Strategies on

In high-stakes securities litigation, trial teams often find themselves at a crossroads—how do you present intricate financial concepts to a jury that may have little to no background with the industry and relevant laws? The...more

WilmerHale

Toxic Culture Review: FCA Statutory Demand for Non-Financial Misconduct Data

WilmerHale on

“The wholesale insurance market in particular has a long way to go in having an inclusive culture...areas for improvement include...preventing and handling non-financial misconduct,” stated the Financial Conduct Authority...more

Eversheds Sutherland (US) LLP

Financial Crime Horizon Scanner: 2022 - Q1 (UK)

Our quarterly Financial Crime Horizon Scanner for the UK summarizes key financial crime related legal and regulatory changes expected over the next 2 years and provides electronic links to key resources. We hope that you...more

WilmerHale

The FCA’s enforcement outlook for 2018

WilmerHale on

On 21 March 2018, the Financial Conduct Authority (“FCA”) published a consultation document setting out its approach to enforcement for 2018. The paper aims to provide clarity and transparency on how the FCA exercises its...more

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