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Enforcement Actions › Enforcement Guidance › Financial Conduct Authority (FCA)

K&L Gates LLP

Key Takeaways From the UK Financial Conduct Authority's Revised Enforcement Guide

K&L Gates LLP on

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

A&O Shearman

The results are in: Our top 10 enforcement insights from the FCA’s Annual Report for 2022/23

A&O Shearman on

Last week, the FCA published its Annual Report for 2022/23, which included the usual FCA annual enforcement performance data. Below we have selected 10 key points from the Annual Report that are interesting from an...more

Katten Muchin Rosenman LLP

Bridging The Week - October 2019 #2

Katten Muchin Rosenman LLP on

A broker-dealer and its chief executive officer settled charges brought in 2017 by the Securities and Exchange Commission that the firm facilitated manipulative conduct by a customer, despite being alerted by regulators and...more

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