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Fines Risk Management Financial Conduct Authority (FCA)

A&O Shearman

New U.K. regulatory landscape: enforcement and supervision shift

A&O Shearman on

This article examines the latest trends in U.K. regulatory enforcement and supervisory action and highlights the key takeaways for firms in 2025 and beyond. Over the past 18 months, the Financial Conduct Authority (FCA)...more

Orrick - Finance 20/20

FCA Fines J.P. Morgan Over £3.076M Over Systems and Control Failings

Orrick - Finance 20/20 on

On May 23, the new UK conduct regulator, the Financial Conduct Authority (FCA), fined J.P. Morgan for failings in its wealth management business that persisted for two years until 2012. Specifically, the bank failed to retain...more

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