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Dec 7, 2024 | 
openlegalblogarchive.org | Rebecca Dulieu
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Jul 18, 2024 | 
mondaq.com | Jonathan Herbst |Katie Stephen |Rebecca Dulieu |Simon Lovegrove
In the sixth podcast in our DE&I series, Jonathan Herbst,
Katie Stephen, Rebecca Dulieu and Simon Lovegrove discuss
non-financial misconduct including previous FCA enforcement action,
the FCA's proposals in CP23/20 and the practical steps that
firms can take in this area. The podcast is the first in a planned
mini-series that will focus on this complex and evolving topic.
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guide to the subject matter.
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Mar 1, 2024 | 
mondaq.com | Rebecca Dulieu |Fiona Burke |Georgia Jones
Leveraging our experience as three ex-regulators we discuss
the insights that our different experiences at the FCA have
provided and how we translate that to advising clients across the
full spectrum of FS work: from risk & compliance advisory
through to investigations and enforcement, when navigating their
relationship with the regulator.
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Feb 20, 2024 | 
mondaq.com | Katie Stephen |Rebecca Dulieu
On 7 February 2024 the FCA published a letter to all regulated Lloyd's managing
agents, London market insurers and Lloyd's and London market
brokers and MGAs (dated 6 February 2024), requesting information
relating to incidents of non-financial misconduct. Culture and
non-financial misconduct clearly remain focus areas for the
FCA.
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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.
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Feb 9, 2024 | 
regulationtomorrow.com | Katie Stephen |Rebecca Dulieu
On 7 February 2024 the FCA published a letter to all regulated Lloyd’s managing agents, London market insurers and Lloyd’s and London market brokers and MGAs (dated 6 February 2024), requesting information relating to incidents of non-financial misconduct. Culture and non-financial misconduct clearly remain focus areas for the FCA.
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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.
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Oct 12, 2023 | 
regulationtomorrow.com | Katie Stephen |Rebecca Dulieu
IntroductionOn 28 September 2023 the FCA released a webpage setting out its analysis of the data and information collected from principal firms in 2021 and 2022 including from firms’ responses to information requests following the implementation of the new Appointed Representatives (AR) regime which came into effect in December 2023.
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Aug 9, 2023 | 
mondaq.com | Katie Stephen |Rebecca Dulieu
Two years ago, in July 2021, the Financial Conduct Authority
(FCA) committed to being a more "innovative,
assertive and adaptive regulator"1 and its focus on
quicker and assertive supervisory action, alongside tougher
enforcement, has been a consistent message from the regulator ever
since – a theme recently echoed in a speech given by the
Joint Executive Director of Enforcement and Market
Oversight2.
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Aug 7, 2023 | 
regulationtomorrow.com | Katie Stephen |Rebecca Dulieu
Two years ago the Financial Conduct Authority (FCA) committed to being a more “innovative, assertive and adaptive regulator” and its focus on quicker and assertive supervisory action, alongside tougher enforcement, has been a consistent message from the regulator ever since.
