-
Jul 16, 2024 | 
mondaq.com | Katie Stephen |Catherine Pluck
Earlier this year the UK Financial Reporting Council
(FRC) published
its plan and budget for 2024-25 (the 24-25
Plan), setting out its revised strategic objectives. The
FRC is aiming for a year of “consolidation and
prioritisation”, with a key priority being to further embed
the FRC's ‘growth duty' into all regulatory
decision making. This briefing considers the enforcement aspects of
the 24-25 Plan, including the FRC's key enforcement
deliverables for the months ahead.
-
Mar 15, 2024 | 
regulationtomorrow.com | Katie Stephen |Hannah Meakin |Matthew Gregory |Catherine Pluck
On 8 February 2024, the FCA published a statement confirming that the Upper Tribunal (UT) had decided not to suspend restrictions that the Financial Conduct Authority (FCA) has placed on e-money firm Nvayo Limited (Nvayo). These restrictions, which appear on the FCA’s register, include restrictions on the business the firm can do. They were imposed by the FCA as a result of serious concerns it had about the firm, including its compliance with anti-money laundering (AML) rules.
-
Feb 14, 2024 | 
mondaq.com | Catherine Pluck |Lizzie Cox |Rebecca Dulieu
In our latest podcast, Senior Knowledge Lawyer Catherine Pluck
is joined by Senior Associate Rebecca Dulieu and Associate Lizzie
Cox, both of whom specialise in regulatory investigations and
enforcement, to discuss reporting obligations under the Proceeds of
Crime Act 2002 (POCA), in particular how to draft and submit good
quality suspicious activity reports.
-
Feb 5, 2024 | 
regulationtomorrow.com | Catherine Pluck |Lizzie Cox |Rebecca Dulieu
In our latest Regulation Tomorrow podcast, Senior Knowledge Lawyer Catherine Pluck is joined by Senior Associate Rebecca Dulieu and Associate Lizzie Cox, both of whom specialise in regulatory investigations and enforcement, to discuss reporting obligations under the Proceeds of Crime Act 2002 (POCA), in particular how to draft and submit good quality suspicious activity reports.
-
Dec 27, 2023 | 
regulationtomorrow.com | Jonathan Herbst |Hannah Meakin |Katie Stephen |Matthew Gregory |Albert Weatherill |Simon Lovegrove | +2 more
We have published a new online briefing note, Horizon scanning – Ten regulatory topics to look out for in 2024. The briefing note can be found here.
-
Nov 28, 2023 | 
regulationtomorrow.com | Katie Stephen |Catherine Pluck
SummaryOn 17 November 2023, the Financial Conduct Authority (FCA) announced that it has censured the holding company of the largest private healthcare operator in the United Arab Emirates (UAE), NMC Health Plc (in administration) (NMC), for misleading the market about its debt, and failing to declare related party transactions, which was found to be market abuse (market manipulation) in breach of Article 15 of EU MAR.
-
Nov 15, 2023 | 
mondaq.com | Catherine Pluck |Katie Stephen
This podcast is the first in our new series, Decisions Decoded,
focussing on decisions and themes in regulatory investigations and
enforcement. In this episode, Senior Knowledge Lawyer Catherine
Pluck talks to Financial Services Partner Katie Stephen about the
recent FCA Final Notice concerning ADM Investor Services
International Limited, which has been fined £6,470,600 for
inadequate anti-money laundering systems and controls.
-
Nov 10, 2023 | 
regulationtomorrow.com | Katie Stephen |Catherine Pluck
This podcast is the first in our new series, Decisions Decoded, focussing on decisions and themes in regulatory investigations and enforcement. In this episode, Senior Knowledge Lawyer Catherine Pluck talks to Financial Services Partner Katie Stephen about the recent FCA Final Notice concerning ADM Investor Services International Limited, which has been fined £6,470,600 for inadequate anti-money laundering systems and controls.
-
Sep 7, 2023 | 
regulationtomorrow.com | Katie Stephen |Anita Edwards |Catherine Pluck |Simon Lovegrove
On 6 September 2023, the FCA published a speech delivered by Sarah Pritchard, Executive Director of Markets and International, at the Financial Crime Summit 2023. The speech addresses calibrating controls to build confident markets. In her speech, Ms Pritchard makes the following remarks:As an outcomes and data-led regulator, the FCA is focusing on results. There has been an eight per cent reduction in the total amount lost through fraud in the last year, according to data from UK Finance.
-
Sep 1, 2023 | 
mondaq.com | Catherine Pluck |Jonathan Herbst |Katie Stephen
In our latest Regulation Tomorrow Plus podcast, Senior
Knowledge Lawyer Catherine Pluck is joined by London Financial
Services partners Jonathan Herbst and Katie Stephen, who discuss
some recent regulatory developments in relation to culture, as well
as some practical steps that firms can be taking in this
area.
Spotify/Apple
To listen to the podcast, click here.
The content of this article is intended to provide a general
guide to the subject matter.
