News
Market abuse surveillance: How to get it right
27 June 2022
Identifying and reporting instances of potential market abuse is required under the Market Abuse Regulation ('MAR'). A firm must have effective arrangements, systems and...
Publications
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Insights and Analysis
Focusing on enforcement - insights from the FCA's Strategy 2022-25 and Business Plan 2022-23
20 May 2022
Last month, the Financial Conduct Authority (FCA) published its Strategy 2022 to 2025, in which it set out its vision and ambitions for the next three years, together with its Business Plan ...
News
Hogan Lovells secures resounding victory for ENRC in landmark case against Dechert and SFO
16 May 2022
In a judgment made public on 16 May 2022, the High Court has made unprecedented findings of “extraordinary” and “almost unimaginable” misconduct by ENRC’s...
News
FCA Strategy and latest Business Plan move to issues and outcomes, not sectors, in changing world
07 April 2022
The FCA has just published its Strategy for the next three years, together with its 2022/23 Business Plan. In a continuation of the drive for the FCA to become more innovative, assertive...
News
Financial Institutions Horizons 2022
27 January 2022
At our recent global conference we held in partnership with Global Digital Finance, our keynote speaker suggested that the three major drivers for financial institution regulators and...
News
UK and U.S. agencies signal increased enforcement focus on financial institutions
15 December 2021
The position as set out in this article is correct as at 15 December 2021.On both sides of the Atlantic, key regulatory and enforcement agencies have signaled more aggressive enforcement...
Insights and Analysis
FCA enforcement: what can we draw from last year’s activity and what lies ahead?
01 December 2020
In September 2020, the Financial Conduct Authority (FCA) published its Annual Report and Accounts 2019/20, which looks back at the FCA’s work over the 12 months to 31 March...
Insights and Analysis
Diversity and culture, and the FCA’s approach to non-financial misconduct
30 September 2019
Over recent months, the FCA has been sending out a clear message to the financial services industry: diversity is no longer a “nice to have” but a “commercial...
Insights and Analysis
Diversity and culture, and the FCA’s approach to non-financial misconduct
29 September 2019
Over recent months, the FCA has been sending out a clear message to the financial services industry: diversity is no longer a “nice to have” but a “commercial...
