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Dec 5, 2024 | 
jdsupra.com | Imogen Makin
An enforcement investigation by the Financial Conduct Authority (FCA) can be an extremely expensive and stressful experience for regulated firms and individuals alike. In February this year, the FCA launched a controversial consultation on proposals which would only have exacerbated the experience and likely caused reputational, as well as financial, damage.
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Dec 4, 2024 | 
wilmerhale.com | Imogen Makin
This blog post was first published by FT Adviser on December 3, 2024. An enforcement investigation by the Financial Conduct Authority (FCA) can be an extremely expensive and stressful experience for regulated firms and individuals alike. In February this year, the FCA launched a controversial consultation on proposals which would only have exacerbated the experience and likely caused reputational, as well as financial, damage.
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Dec 3, 2024 | 
ftadviser.com | Imogen Makin
An enforcement investigation by the Financial Conduct Authority can be an extremely expensive and stressful experience for regulated firms and individuals alike. In February this year, the FCA launched a controversial consultation on proposals that would only have exacerbated the experience and likely caused reputational, as well as financial, damage.
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Sep 26, 2024 | 
wilmerhale.com | Michelle Diamond |Imogen Makin
Reflecting broader societal concerns and trends, the City of London has come under pressure to tackle poor behaviours that previously may have had an unclear regulatory status. Michelle Diamond and Imogen Makin discuss a Society of Lloyd’s consultation on amending formal powers to clamp down on non-financial misconduct.
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May 20, 2024 | 
jdsupra.com | Richard Burger |Lloyd Firth |Imogen Makin
Recent weeks have seen several notable developments in the UK criminal enforcement landscape: The UK government (HMG) has committed to publishing “in early summer” its much-anticipated guidance on what in-scope corporates need to do to be able to avail themselves of the reasonable procedures defence to the new strict liability corporate offence of failing to prevent fraud.
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May 17, 2024 | 
wilmerhale.com | Richard Burger |Stephen Pollard |Lloyd Firth |Imogen Makin
Recent weeks have seen several notable developments in the UK criminal enforcement landscape: The UK government (HMG) has committed to publishing “in early summer” its much-anticipated guidance on what in-scope corporates need to do to be able to avail themselves of the reasonable procedures defence to the new strict liability corporate offence of failing to prevent fraud.
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Apr 7, 2024 | 
mondaq.com | Imogen Makin |Josef Rybacki
This post was first published by Thompson Reuters Regulatory Intelligence on 28
March 2023.
The UK Financial Conduct Authority (FCA) is entering the final
year of its 2022-2025 strategy, which features a
commitment to be more innovative, assertive and adaptable. Its 2024/25 Business Plan outlines how the
regulator intends to fulfil that promise in the next 12 months.
What is the Business Plan, and how does it tie into the
2022-2025 strategy?
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Mar 29, 2024 | 
jdsupra.com | Imogen Makin |Josef Rybacki
[co-author: Katy O'Connor]The UK Financial Conduct Authority (FCA) is entering the final year of its 2022-2025 strategy, which features a commitment to be more innovative, assertive and adaptable. Its 2024/25 Business Plan outlines how the regulator intends to fulfil that promise in the next 12 months. What is the Business Plan, and how does it tie into the 2022-2025 strategy?
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Mar 28, 2024 | 
lexology.com | Imogen Makin |Josef Rybacki |Katy O'Connor
This post was first published by Thompson Reuters Regulatory Intelligence on 28 March 2023. The UK Financial Conduct Authority (FCA) is entering the final year of its 2022-2025 strategy, which features a commitment to be more innovative, assertive and adaptable. Its 2024/25 Business Plan outlines how the regulator intends to fulfil that promise in the next 12 months. What is the Business Plan, and how does it tie into the 2022-2025 strategy?
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Mar 19, 2024 | 
mondaq.com | Imogen Makin |Richard Burger
"The first rule of enforcement club is that you do in
fact talk about enforcement club"1; so Therese
Chambers, the UK Financial Conduct Authority's
(FCA) joint executive director of enforcement and
market oversight, announced a controversial consultation on
amendments to the FCA's enforcement policy.
