FCA business plan flags potential enforcement targets
The FCA has published its business plan for 2019/2020. Again, emphasis is placed on the FCA’s work to ensure an orderly transition post...
About Me
I advise on a wide range of litigation and regulatory proceedings in the banking and financial services sector. I am a member of the firm’s global investigations practice, and frequently work on cross border investigations with a financial services or financial crime focus.
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AML Enforcement Risk: 8 Practical Lessons For Bank Executives
Last week the FCA issued a Decision Notice against Mohammad Prodhan, the former CEO of Sonali Bank (UK) Limited, fining him £76,400 for...
FCA enforcement update and future targets
The FCA’s annual report and enforcement performance report look back at the regulator’s activity for the 2017/18 financial year, and give...
FCA proceeds with plans to promote compliance with industry codes of conduct in unregulated markets/sectors
Co-authored by Emma Rachmaninov
The FCA has demonstrated in many of its highest profile enforcement actions its willingness to act when it...
Can UK firms have their ethical cake and eat it?
By Christopher Robinson, Simon Orton and Melanie Fitzsimons
According to the consensus of a selection of essayists writing in the FCA’s...
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