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Enforcement Actions › Financial Conduct Authority (FCA) › Tribunals

A&O Shearman

Executive directors “knowingly concerned” in bank’s breach of the UK listing rules

A&O Shearman on

The UK Upper Tribunal (Tax and Chancery) has upheld the Financial Conduct’s Authority’s (FCA) decision to take action against two former executives of a bank for being “knowingly concerned” in the bank’s breach of the listing...more

BCLP

Upper Tribunal Ruling in the Case of Craig Donaldson and David Arden (Metro Bank)

BCLP on

The Upper Tribunal has upheld the FCA’s decision that the CEO and CFO of Metro Bank were knowingly concerned in the Bank’s breach of the Listing Rules....more

Latham & Watkins LLP

The FCA’s Approach to Non-Financial Misconduct - Latest Cases and Observations

Latham & Watkins LLP on

The FCA has long since regarded non-financial misconduct as potentially relevant to the integrity and reputation elements of a regulated individual’s fitness and propriety. While not formally defined, non-financial misconduct...more

BCLP

FCA publishes Decision Notice against former CEO for market abuse

BCLP on

The FCA has published a Decision Notice and fined the former CEO of WorldSpreads Ltd for engaging in market abuse (dissemination, manipulating transactions and false or misleading impressions) and banned him from performing...more

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