Aug 15, 2022 “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...
Jul 21, 2022 “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...
Apr 09, 2020 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...
Sep 28, 2018 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...
Jan 26, 2018 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...
Jan 22, 2018 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...