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6 results for: fs disputes
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“Inside information is not a private commodity”: negligent disclosure leads to £80k personal fine for NED
By Laura Bridgewater Helen Carter Madeleine Brown
The FCA has fined a former non-executive director (NED) £80,000 for negligently disclosing inside information to senior individuals at...
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“History may not repeat itself. But it rhymes”; misconduct in wholesale markets
By Dan Lavender Laura Bridgewater
We are delighted to have assisted the Financial Markets Standards Board with its second edition of the Behaviour-pattern Conduct Analysis...
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FCA sets out priorities for the next financial year
By Laura Bridgewater
The FCA has published its Business Plan for the 2020/2021 financial year. The headlines are as follows:COVID-19Unsurprisingly, the FCA’s...
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First FCA enforcement case to proceed under the new process for partly-contested cases
By Laura Bridgewater
The FCA has published a decision notice against a broker (Linear Investments Limited) with respect to historic failings in the systems...
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FCA fines firm for inadequate market abuse controls and failure to report suspicious transactions
By Laura Bridgewater
This notice shows the FCA's tough approach to market abuse and is a reminder to firms to ensure that they effectively supervise delegated...
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FCA proposal to extend FOS protection to small businesses: another example of increasing regulation
By Laura Bridgewater
The FCA has published a consultation on widening access to the Financial Ombudsman Service (FOS) to small businesses.This will be a...