Financial services and regulation

Publication

Financial Services Regulatory ESG Monthly Updaters

Environmental, Social and Governance-related (ESG) matters are high on the global agenda with a focus not only on climat...

Failure to prevent fraud: government guidance published and countdown to new offence begins

The government has today published general guidance on the new failure to prevent fraud offence and has confirmed the of...

The results of the FCA's Culture and non-financial misconduct survey have been published: What do you need to know?

The FCA has published the results of its survey on non-financial misconduct. Set out below are (1) key findings; (2) nex...

Breadth of FCA’s supervisory power to require individual firms to pay redress confirmed by Court of Appeal in Bluecrest decision

The recent Court of Appeal decision in the Bluecrest case sets expansive parameters for the scope of the regulator’s pow...