Financial Conduct Authority (FCA), Code of Conduct, Consultation

New FCA Rules on Non-Financial Misconduct

WilmerHale on 7/9/2025

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

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

Goodwin on 7/8/2025

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

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

BCLP on 7/7/2025

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

UK Corporate Briefing - July 2024

BCLP on 7/2/2024

Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about. ...more

Recent Developments for UK PLCs - September Edition

Latham & Watkins LLP on 9/5/2023

On 10 August 2023, the FCA published Primary Market Bulletin 45, which describes its process for developing its policy position in relation to the new ISSB standards and developing climate-related transition plan guidance for...more

SMCR for FCA-solo regulated firms

BCLP on 2/26/2019

The FCA recently released the latest in a long series of papers relating to the Senior Managers and Certification Regime (“SMCR”). FCA Consultation Paper CP19/4 sets-out new measures designed to “optimise” the SMCR ahead of...more