Regulatory Wrap Episode 28: Analyzing FCA’s Controversial Enforcement Approach
In Regulatory Wrap for the week to April 26, Jennie Clarke reviews the FCA’s proposed enforcement approach to identify firms under investigation from the outset.
Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules, The SEC and FCA Increase Transparency
In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.
Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines
The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.
Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented
In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.
Regulatory Wrap Episode #22: Social Media & Compliance, Exploring Fraudulent CEOs & Market Swings
In Regulatory Wrap for the week to March 8, Jennie Clarke asks a timely question: are you managing the risks social media poses to compliance?
Regulatory Wrap Episode #21: Addressing Non-Financial Misconduct, Insider Trading & #FCA’s Strategy
In Regulatory Wrap for the week to March 1, Rob Mason discusses the FCA’s mission to pursue and prevent non-financial misconduct as well as insider dealing cases.
Name and shame – FCA vows more transparency to increase deterrence
The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.
Regulatory Wrap Episode #20: Analyzing FCA’s Market Watch 76, Key Insights On Compliance Trends
In Regulatory Wrap for the week to February 23, Rob Mason breaks down the FCA's Market Watch 76, which covers "flying" and "printing" as continuing risks in the industry.
Regulatory Wrap Episode #19: Examining Market Watch 77’s Fight Against Organized Crime
In Regulatory Wrap for the week to February 16, Jennie Clarke reports on the FCA’s recent investigation involving money laundering and insider dealing found to be connected to organized crime groups.
Regulatory Wrap Episode 18: Market Watch 76 – Decoding Market Dynamics and the FCA’s Evolution
In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.
Regulatory Wrap Episode 17: Regulatory Priorities, 2024 Major Trends, and a New Focus for the FCA
In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.