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United Kingdom › Enforcement Actions › 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)

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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

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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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