Regulation and investigations
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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...

October 25, 2024

Regulation and investigations
Generic-building-financial-institution-office-AdobeStock_464048638

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...

October 07, 2024

Regulation and investigations
magnifying an image

FCA in listening mode on ‘name and shame’ proposal

Therese Chambers has given a speech today confirming next steps on the FCA’s proposals to announce investigations (origi...

September 25, 2024

Regulation and investigations
key takeaways

Lloyd’s Consultation on Conduct – Top 5 Takeaways

Following the FCA’s consultation on diversity and inclusion and its survey on non-financial misconduct earlier this year...

September 25, 2024

Regulation and investigations
RT

Regulators reinforce importance of IT, systems and operational resilience: Key considerations for firms

Recent FCA outcomes and a speech by the ECB earlier this month are stark reminders that financial resilience alone is no...

September 23, 2024

Regulation and investigations
draft

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...

October 25, 2024

Regulation and investigations
Generic-building-financial-institution-office-AdobeStock_464048638

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...

October 07, 2024

Regulation and investigations
magnifying an image

FCA in listening mode on ‘name and shame’ proposal

Therese Chambers has given a speech today confirming next steps on the FCA’s proposals to announce investigations (origi...

September 25, 2024

Regulation and investigations
key takeaways

Lloyd’s Consultation on Conduct – Top 5 Takeaways

Following the FCA’s consultation on diversity and inclusion and its survey on non-financial misconduct earlier this year...

September 25, 2024

Regulation and investigations
RT

Regulators reinforce importance of IT, systems and operational resilience: Key considerations for firms

Recent FCA outcomes and a speech by the ECB earlier this month are stark reminders that financial resilience alone is no...

September 23, 2024

Regulation and investigations
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