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Regulatory Requirements › Penalties › Financial Conduct Authority (FCA)

Ropes & Gray LLP

The FCA Has Revamped its Enforcement Guide – Here’s What You Should Know

Ropes & Gray LLP on

On Tuesday the UK’s Financial Conduct Authority (FCA) issued an updated version of its Enforcement Guide, which will now be referred to as ‘ENFG’ in the FCA Handbook, to distinguish it from the previous version. The ENFG is...more

Akin Gump Strauss Hauer & Feld LLP

Preparing Organisations for the New UK Failure to Prevent Fraud Offence

Akin Gump Strauss Hauer & Feld LLP on

Fraud is the most common offence in the UK, amounting to 41% of all crime.  On 26 October 2023, the UK’s long-awaited Economic Crime and Corporate Transparency Act 20232  (the Act) received Royal Assent, setting out...more

A&O Shearman

EU Publishes Final Amendments to Cash Penalty Process for Cleared Trades

A&O Shearman on

The European Securities and Markets Authority has published its Final Report and draft Regulatory Technical Standards amending the cash penalty process for cleared transactions under the EU Central Securities Depositories...more

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