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Thomas Fox - Compliance Evangelist

Data Driven Compliance: Understanding the UK’s New Failure to Prevent Fraud Offense with Sam Tate

Thomas Fox - Compliance Evangelist on

Welcome to Season 2 of the award-winning Data Driven Compliance. In this new season, we will look at the new Failure to Prevent Fraud offense. Join host Tom Fox as we explore this new law and how to comply with it through the...more

BCLP

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

BCLP on

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

Latham & Watkins LLP

Top Tips for Global Companies Preparing for the UK’s New “Failure to Prevent Fraud” Offence

Latham & Watkins LLP on

Companies in the US and around the world should consider their potential for UK exposure and assess their compliance programmes in light of that risk. On 1 September 2025, the UK will implement a new corporate criminal...more

Goodwin

Non-financial Misconduct and Culture: A Reminder for FCA-Regulated Firms in the UK

Goodwin on

Firm culture remains a key topic on the Financial Conduct Authority’s (FCA’s) radar this year. In a previous alert, we discussed the FCA’s proposals for all FCA-authorised firms to better integrate non-financial misconduct...more

Ankura

Enhancing Corporate Fraud Prevention: Guidance on the Failure to Prevent Fraud Offence

Ankura on

The final UK Government guidance on failure to prevent fraud has now been published Economic Crime and Corporate Transparency Act 2023: Guidance to organisations on the offence of failure to prevent fraud (accessible version)...more

BCLP

Emerging Themes in Financial Regulation 2020

BCLP on

Under the Senior Managers and Certification Regime (“SMCR”), firms are required to identify and report to the FCA any instances of disciplinary action taken in relation to conduct that would amount to a breach of one of the...more

Latham & Watkins LLP

Lessons for UK Companies From US DOJ Guidance on Corporate Compliance Programs

Latham & Watkins LLP on

The DOJ’s recently updated guidance poses helpful questions for UK corporates evaluating the effectiveness of their internal compliance programmes. It is well known that a corporate’s failure to prevent offences can be...more

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